[Federal Register Volume 61, Number 117 (Monday, June 17, 1996)]
[Notices]
[Pages 30748-30775]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-15156]




[[Page 30747]]


_______________________________________________________________________

Part V





Department of Health and Human Services





_______________________________________________________________________



Administration for Children and Families



_______________________________________________________________________



National Center on Child Abuse and Neglect Projects; Fiscal Year 1996 
Availability of Funds and Requests for Comments; Notice

  Federal Register / Vol. 61, No. 117 / Monday, June 17, 1996 / 
Notices  

[[Page 30748]]



DEPARTMENT OF HEALTH AND HUMAN SERVICES

Administration for Children and Families
[Program Announcement No. ACF/ACYF/NCCAN/DP 96-1]


Fiscal Year 1996 National Center on Child Abuse and Neglect; 
Availability of Fund and Requests for Applications

AGENCY: National Center on Child Abuse and Neglect (NCCAN), 
Administration on Children, Youth and Families (ACYF), Administration 
for Children and Families (ACF), Department of Health and Human 
Services (DHHS).

ACTION: Announcement of the availability of financial assistance and 
requests for applications to support child abuse and neglect research, 
demonstration, and training and technical assistance projects as 
authorized by the Child Abuse Prevention and Treatment Act, as amended.

SUMMARY: The National Center on Child Abuse and Neglect (NCCAN) 
announces the availability of Fiscal Year 1996 funding.
    Funds from NCCAN are for research on the causes, prevention, 
identification, treatment and cultural distinctions of child abuse and 
neglect; for research on appropriate, effective and culturally-
sensitive investigative, administrative and judicial procedures with 
respect to cases of child abuse; and for demonstration or service 
programs and projects designed to prevent, identify, and treat child 
abuse and neglect.
    This announcement contains forms and instructions for submitting an 
application.

DATES: The closing time and date for the receipt of applications under 
this announcement is 4:30 p.m. (Eastern Time) August 16, 1996. 
Applications received after 4:30 p.m. will be classified as late.

ADDRESSES: Mail applications to: Department of Health and Human 
Services, Administration for Children and Families, Division of 
Discretionary Grants, 370 L'Enfant Promenade, S.W., Mail Stop 6C-462, 
Washington, D.C. 20447, ATTN: __________ (Reference announcement number 
and specify Priority Area 1.01, 2.01, or 2.02).

    Hand-delivered, courier or overnight applications are accepted 
during the normal working hours of 8:00 a.m. to 4:30 p.m., (Eastern 
time), Monday through Friday, on or prior to the established closing 
date at: Administration for Children and Families, Division of 
Discretionary Grants, ACF Mailroom, 2nd Floor Loading Dock, Aerospace 
Center, 901 D Street, S.W., Washington, D.C. 20447, ATTN: __________ 
(reference number and specify Priority Area 1.01, 2.01, or 2.02).

FOR FURTHER INFORMATION CONTACT: The ACYF Operations Center Technical 
Assistance Team at 1-800-351-2293 is available to answer questions 
regarding application requirements and to refer you to the appropriate 
contact person in NCCAN for programmatic questions.

INTENT TO APPLY: If you are going to submit an application, send a 
postcard or call in the following information: The name, address, and 
telephone number of the contact person; the name of the organization; 
and the priority area(s) in which you may submit an application, within 
two weeks of the receipt of this announcement to: Administration on 
Children, Youth and Families, Operations Center, 3030 Clarendon 
Boulevard, Suite 240, Arlington, VA 22201. The telephone number is 1-
800-351-2293. This information will be used to determine the number of 
expert reviewers needed and to update the mailing list of persons to 
whom the program announcement is sent.

SUPPLEMENTARY INFORMATION: This program announcement consists of three 
parts. Part I provides information on the National Center on Child 
Abuse and Neglect and general information on the application 
procedures. Part II describes the review process, additional 
requirements for the grant applications, the criteria for the review 
and evaluation of applications, and the programmatic priorities for 
which applications are being solicited. Part III provides information 
and instructions for the development and submission of applications.
    The forms to be used for submitting an application follow Part III. 
Please copy as single-sided forms and use in submitting an application 
under this announcement. No additional application forms are needed to 
submit an application.
    Applicants should note that grants to be awarded under this program 
announcement are subject to the availability of funds.

Outline of Announcement

Part I: General Information
Part II: Review Process and Priority Areas
    A. Eligible Applicants
    B. Review Process and Funding Decisions
    C. Evaluation Criteria
    D. Structure of Priority Area Descriptions
    E. Available Funds
    F. Priority Area Descriptions and Requirements
Part III: Information and Instructions for the Development and 
Submission of Applications
    A. Paperwork Reduction Act of 1995
    B. Availability of Forms
    C. Required Notification of the State Single Point of Contact
    D. Deadline for Submission of Applications
    E. Instructions for Preparing the Application and Completing 
Application Forms
    1. SF424, page 1, Application Cover Sheet
    2. SF424A, Budget Information-Non-Construction Programs
    3. Project Summary Description
    4. Program Narrative Statement
    5. Assurances/Certifications
    F. Checklist for a Complete Application
    G. The Application Package

Part I--General Information

A. Background

    The Administration on Children, Youth and Families (ACYF) 
administers national programs for children and youth, works with States 
and local communities to develop services which support and strengthen 
family life, seeks out joint ventures with the private sector to 
enhance the lives of children and their families, and provides 
information and other assistance to parents, public and private 
agencies, States and local communities, and other entities.
    The concerns of ACYF extend to all children from birth through 
adolescence. Many of the programs administered by the agency focus on 
children from low-income families; children and youth in need of foster 
care, adoption, or other child welfare services; preschool children; 
children with disabilities; abused and neglected children; runaway and 
homeless youth; and children from Native American and migrant families.
    Located organizationally within ACYF, the National Center on Child 
Abuse and Neglect (NCCAN) was established within the Department of 
Health and Human Services in 1974 by the Child Abuse Prevention and 
Treatment Act (the Act).
    NCCAN conducts activities designed to assist and enhance national, 
State and community efforts to prevent, identify, and treat child abuse 
and neglect. These activities include: conducting research and 
demonstrations; supporting service improvement projects; gathering, 
analyzing, and disseminating information through a national 
clearinghouse; and awarding grants to eligible States to develop, 
strengthen, and carry out child abuse and neglect prevention and 
treatment programs and programs relating to the investigation

[[Page 30749]]

and prosecution of child abuse cases. In addition, the legislatively-
mandated Advisory Board on Child Abuse and Neglect and the Inter-Agency 
Task Force on Child Abuse and Neglect produce periodic reports on child 
abuse and neglect activities.

B. Statutory Authority Covered Under This Announcement

    NCCAN solicits applications under the authority of the Child Abuse 
Prevention and Treatment Act (42 U.S.C. 5101 et seq.) as amended. The 
Act was most recently reauthorized through September 1995 and was 
further amended through the Child Abuse, Domestic Violence, Adoption, 
and Family Services Act of 1992 (Pub. L. 102-295, 5/28/92), the 
Juvenile Justice and Delinquency Act Amendments of 1992 (Pub. L. 102-
586, 11/4/92), and Title IV of the Human Services Amendments of 1994 
(Pub. L. 103-252, sec. 401). Funds were appropriated, at a reduced 
level, under the 1996 Appropriation Bill (Pub. L. 104-134) through 
September 1996. (CFDA: 93.670)

Part II. The Review Process and Priority Areas

A. Eligible Applicants

    Each priority area description contains information about the types 
of agencies and organizations eligible to apply. Because eligibility 
varies depending on statutory provisions, it is critical that the 
``Eligible Applicants'' section of each priority area be read 
carefully.
    Before review, each application will be screened for applicant 
organization eligibility. Applications from ineligible organizations 
will not be reviewed in the competition, and the applicants will be so 
informed.
    Only agencies and organizations, not individuals, are eligible to 
apply under this Announcement. All applications developed jointly by 
more than one agency or organization must identify a single lead 
organization and official applicant. Participating agencies and 
organizations can be included as co-participants, subgrantees, or 
subcontractors. For-profit organizations are eligible to participate as 
subgrantees or subcontractors with eligible non-profit organizations 
under all priority areas.
    Any non-profit agency must submit proof of non-profit status either 
by making reference to its listing in the Internal Revenue Service's 
(IRS) most recent list of tax-exempt organizations or by submitting a 
copy of its letter from the IRS under IRS Code Section 501(c)(3). The 
ACYF cannot fund a non-profit applicant without acceptable proof of its 
non-profit status.

B. Review Process and Funding Decisions

    Before applications are reviewed, each application is screened to 
determine whether the applicant organization is eligible. Applications 
from ineligible organizations will not be reviewed in the competition, 
and the applicant will be so informed. Applications that omit essential 
components of the application or fail to comply with format 
specifications described in Part III will have their application 
withdrawn from further consideration.
    Applications will be screened for categorical appropriateness. If 
applications are found to be inappropriate for the priority area in 
which they were submitted, applicants will be contacted for verbal 
approval of redirection to a more appropriate priority area. 
Redirection does not affect decision-making in the competitive process 
following the initial screening.
    Timely applications from eligible applicants will be reviewed and 
scored competitively. Experts in the field, generally persons outside 
the Federal government, will use the appropriate evaluation criteria 
listed later in this section to review and score the applications. The 
result of this review is a primary factor in funding decisions.
    NCCAN and ACYF reserve the option to discuss applications with, or 
refer them to, other Federal or non-Federal funding sources when this 
is in the best interest of the Federal government or the applicants. 
ACYF may also solicit comments from ACF Regional Office staff, other 
Federal agencies, interested foundations, national organizations, 
specialists, experts, States and the general public. These comments, 
along with those of the expert reviewers, will be considered by ACYF in 
making funding decisions.
    In making decisions on awards, ACYF may give preference to 
applications which focus on: over-represented or under-served 
populations; substantially innovative strategies with the potential to 
improve theory or practice in child welfare and child protective 
services; a model practice or set of procedures that holds the 
potential for replication by organizations that administer or deliver 
child welfare and/or child protective services; substantial involvement 
of volunteers, where appropriate; substantial involvement (either 
financial or programmatic) of the private sector; a favorable balance 
between Federal and non-Federal funds available for the proposed 
project; the potential for high benefit from low Federal investment; 
and/or substantial involvement by national or community foundations.
    To the greatest extent possible, funding decisions will reflect an 
equitable distribution of assistance among the States and geographical 
regions of the country, rural and urban areas, and ethnic populations. 
In making these decisions, ACYF may also take into account the need to 
avoid unnecessary duplication of effort.

C. Evaluation Criteria

    A panel of at least three reviewers (primarily experts from outside 
the Federal government) will review the applications. To facilitate 
this review, applicants should address each requirement in the priority 
area description under the appropriate section of the Program Narrative 
Statement.
    The reviewers will determine the strengths and weaknesses of each 
application using the evaluation criteria listed below and provide 
verbal and written comments and assign numerical scores to each 
application. The point value following each criterion heading is the 
maximum score for that criterion.
    All research applications will be evaluated against the following 
criteria:
    (a) Objectives (5 points). The application pinpoints the research 
problem addressed; concisely states the specific objectives of the 
study; references theory or craft knowledge supporting the study; and 
states the question(s) or hypothesis(es) to be tested.
    (b) Background and Significance (maximum of 19 points). The 
application provides a thoughtful discussion about the current state of 
knowledge related to the research problem addressed by presenting a 
review of the relevant literature, including any pilot tests, in order 
to establish the need for the study as a replication to validate 
existing knowledge or a new study to fill a knowledge gap. Applicants 
also must indicate how the proposed study findings are expected to 
significantly inform policy, improve practice, and/or advance the 
science of child abuse and neglect research. Bibliographic references 
for all citations should be included.
    (c) Methodology (51 points). The application precisely defines the 
terms and variables used in the study; identifies data sources, data 
collection processes and instruments, including the instruments' 
reliability and validity with the population proposed; and describes 
the data analysis plan. If the

[[Page 30750]]

study proposes to do secondary data analysis, the application describes 
access to the data source.
    The application describes the characteristics of the target 
population and the rationale, strengths, and potential limitations for 
interpretations of findings due to the gender and ethnic composition of 
the proposed study sample; depicts recruitment and retention 
procedures; provides realistic estimates of attrition, and discusses 
appropriate procedures for handling attrition or interpreting the 
findings of the study in light of attrition.
    The proposed methodology protects human subjects; reflects 
sensitivity to ethical issues that may arise and provides for reporting 
suspected abuse and/or neglect as governed by applicable laws and 
regulations; describes procedures for soliciting approval from an 
institutional review board (IRB), if applicable, and protecting the 
integrity and confidentiality of data.
    The applicant(s) commits to using data processing and documentation 
practices in accordance with the needs of the National Data Archive on 
Child Abuse and Neglect and to providing study data to the Archive at 
the conclusion of the project, as applicable. A manual describing such 
practices, The Preparation of Data Sets for Analysis and Dissemination: 
Technical Standards for Machine-Readable Data, can be obtained free of 
cost from the National Data Archive on Child Abuse and Neglect located 
at Cornell University, Family Life Development Center, G20 MVR Hall, 
Ithaca, New York 14853-4401, 607-255-7794. Applicants must confirm that 
the final report will be prepared in the suggested format to ensure its 
readiness for dissemination by NCCAN and ACYF, if desired.
    The application provides a fiscally responsible and workable plan 
of action; details a reasonable time-line and target dates; includes an 
adequate staffing plan, listing key and support staff, consultants, any 
agency, organization, other key group, and/or advisory panels involved 
or proposed; describes the responsibilities, activities, and/or 
training plans for each, if applicable. The application explicitly 
identifies the role of the author(s) of this proposal in relation to 
the work plan and administrative structure.
    The application proposes reasonable project costs and allocates 
sufficient funds across component areas. This information also must be 
included in the budget narrative.
    (d) Staff Background and Organizational Experience (25 points). The 
application describes the qualifications of the key staff and 
consultants alluded to in the methods section (a curriculum vitae for 
each key staff person must be included with the application); the 
geographic accessibility of the personnel proposed; and access to 
special personnel resources to be tapped, if required.
    The application describes the adequacy of the available facilities 
and organizational experience to perform the pertinent tasks of the 
proposed project effectively and efficiently. Organizational capability 
statements included with applications should be no longer than two 
pages. If collaboration is proposed, the nature and extent of the 
collaboration must be described in detail, and supported by letters of 
commitment.
    The application describes the relationship between this project and 
any other Federally assisted work planned, anticipated, or underway, by 
the applicant.
    All demonstration and training and technical assistance 
applications will be evaluated against the following criteria:
    (a). Objectives and Need for Assistance (20 points). The 
application pinpoints the problem or issue requiring a solution and 
demonstrates the need for the assistance; states the principal and 
subordinate objectives of the project; provides supporting 
documentation or other testimonies from concerned interests other than 
the applicant; identifies other successful demonstration projects that 
may have implications for the proposed demonstration (which may include 
a review of the relevant literature); identifies the conceptual or 
theoretical framework for this model; and describes whether the 
proposed project replicates or modifies previously evaluated model(s) 
addressing the identified need. The application must pinpoint the 
location of the project and area and population to be served.
    (b). Approach (35 points). The application outlines a sound and 
workable plan of action and time-line and details how the proposed work 
will be accomplished; describes the approach in detail and points out 
its unique features; cites factors which might accelerate or delay this 
approach, giving acceptable reasons for taking this approach as opposed 
to others; describes and supports any unusual features of the project, 
such as extraordinary social and community involvements; includes an 
adequate staffing plan, that lists key and support staff, consultants, 
any agency, organization, other key group, and/or advisory panels 
involved or proposed; describes the responsibilities, activities, and/
or training plans for each (if applicable). The application proposes 
reasonable project costs and allocates sufficient funds appropriately 
across activities to accomplish the objectives.
    The application, when appropriate, identifies the kinds of data to 
be collected and maintained, describes procedures for informed consent 
of participants, where applicable, and discusses the criteria to be 
used to evaluate the results of the project. The application describes 
the evaluation methodology that will be used to determine if the 
process proposed was implemented, if the needs identified were 
addressed, and if the benefits expected were achieved.
    (c). Results or Benefits Expected (20 points). The application 
identifies the results and benefits to be derived, the extent to which 
they are consistent with the goals and objectives, and their 
contributions to policy and practice. The extent to which the proposed 
project costs are reasonable in view of the expected results.
    (d). Staff Background and Organization Experience (25 points). The 
application identifies the educational and professional background of 
the project director/principal investigator and key project staff and 
the experience of the organization to demonstrate the applicant's 
ability to administer and implement the project effectively and 
efficiently. The role of the author(s) of this proposal in relation to 
the work plan and administrative structure should be explicitly 
identified. The application describes the relationships between the 
proposed project and other Federally assisted work planned, anticipated 
or underway by the applicant. If the project proposed is a 
collaboration, the application must describe the nature and extent of 
the collaboration including the responsibilities of the respective 
agencies in carrying out the activities identified in the work-plan.

D. Structure of Priority Area Descriptions

    Each priority area description is composed of the following 
sections:
    Eligible Applicants: This section specifies the type of 
organization eligible to apply under the particular priority area. 
Specific restrictions are noted where applicable.
    Purpose: This section presents the basic focus and/or broad goal(s) 
of the priority area.
    Background Information: This section briefly discusses the 
legislative background and the current state-of-the-

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art and/or current state-of-practice supporting the need for the 
particular priority area activity. Relevant information on projects 
previously funded by ACYF and/or others, and State models are noted.
    Minimum Requirements for Project Design: This section presents the 
minimum requirements which must be addressed in response to the 
evaluation criteria. For research projects, these requirements relate 
to project objectives, background and significance, methodology, staff 
background and organizational experience. For demonstration projects, 
these requirements relate to objectives and need for assistance, 
approach, results or benefits expected, and staff background and 
organizational experience. Reviewers will use the details expected 
under these headings in response to each priority area to evaluate the 
applications.
    Project Duration: This section specifies the maximum allowable 
project period; it refers to the amount of time for which Federal 
funding is available.
    Federal Share of Project Cost: This section specifies the maximum 
amount of Federal support for the project for the first budget year.
    Matching Requirement: This section specifies the minimum non-
Federal contribution, either cash or in-kind match, required in 
relation to the maximum Federal funds requested for the project.
    Anticipated Number of Projects To Be Funded: This section specifies 
the number of projects ACYF anticipates funding under the priority 
area.
    Applications that fail to comply with the specific priority area 
requirements in the section on ``Eligible Applicants'' will not be 
reviewed.
    Non-responsiveness to the section ``Minimum Requirements for the 
Project Design'' is likely to result in a low evaluation score by the 
reviewers. Applicants must clearly identify the specific priority area 
under which they wish to have their applications considered, and tailor 
their applications accordingly. Experience has shown that an 
application which is broader and more general in concept than the 
priority area description calls for invariably scores lower than one 
more clearly focused on, and directly responsive to, the specific 
priority area.

E. Available Funds

    The ACYF intends to award new grants resulting from this 
announcement during the fourth quarter of Fiscal Year 1996, subject to 
the availability of funds. The size of the actual awards will vary from 
priority area to priority area.
    Each priority area description specifies the maximum Federal share 
of the project costs and the anticipated number of projects to be 
funded.
    ``Budget period'' is the interval of time (usually 12 months) into 
which a multi-year period of assistance (project period) is divided for 
budgetary and funding purposes. ``Project period'' is the total time a 
project is approved for support, including any extensions.
    Where appropriate, applicants may propose project periods which are 
shorter than the specified maximums. Non-Federal share contributions 
may exceed the minimums specified when the applicant is able to do so. 
However, applicants only should propose a non-Federal share they can 
realistically provide because ACF will disallow any unmatched Federal 
funds.
    For multi-year projects, continued Federal funding beyond the first 
budget period depends upon satisfactory performance by the grantee, 
availability of funds from future appropriations, and a determination 
that continued funding is in the best interest of the Government.

F. Priority Area Descriptions and Requirements

1.01  University-Based Doctoral or Medical Student and Faculty 
Fellowships in Child Abuse and Neglect
2.01  Demonstration Models on Neglect
2.02  National Resource Center on Child Maltreatment

    On October 25, 1994 (Federal Register Vol. 59, No. 205, pp. 53652-
53657) NCCAN published, as required by the authorizing legislation, a 
notice of the proposed research and demonstration priorities for Fiscal 
Years 1995 and 1996. The notice provided a 60-day period for public 
comment on the proposed areas. NCCAN received 81 written responses. A 
detailed description of those responses was included in the notice of 
availability of funds and request for applications published on May 9, 
1995 (Federal Register Vol. 60, No. 89, pp. 24700-24732). The priority 
areas selected for that announcement were chosen by prioritizing needs, 
matched to available funding levels, with due consideration of the 
public comments on the proposed priorities. This announcement is based 
on the proposed priority publication and public comments. Public 
responses to those proposed priority topics which were not presented in 
previous announcements are described here.
    Thirty-seven letters commented on the proposed research topic 
focusing on the impact of community-based family support and family 
preservation programs on child abuse and neglect. Almost all concurred 
with the direction of this priority. Some writers suggested that the 
target populations and the target findings needed greater clarity. By 
designating four populations of interest and four outcomes, the 
impression may have been given that all four populations and all four 
outcomes were to be included in each proposal, creating projects of 
scope and complexity exceeding available funding. Many criticisms 
targeted the lack of clarity between the priority area and ongoing 
Federal evaluations of family support and family preservation services. 
The proposed population categories and outcomes described in the 
previous announcement were intended to focus applicants' thinking on 
populations and outcomes of primary interest to NCCAN. If this topic is 
pursued, applicants should feel free to suggest (and justify) other 
populations or subgroups and outcomes, and select only those logically 
and appropriately related to the outcomes, theoretical foundation, 
research methods and measures proposed. Regardless of population and 
outcomes, each applicant will be expected to propose explorations that 
will inform future prevention and intervention strategies. With respect 
to the lack of sufficient funding for large-scale explorations of Child 
Protective Service (CPS) populations and service outcomes, this topic 
has been subsumed in the list of suggested topics for university-based 
doctoral or medical student and faculty fellowship studies.
    Regarding field-initiated research, which was not included as a 
separate topic in the proposed priorities, several respondents 
suggested reinstating the previously funded priority area because it 
focused the innovative thinking of the research community specifically 
on issues of child maltreatment. NCCAN, recognizing the importance of 
innovative research from the field and has taken those comments into 
consideration in developing this announcement.
    Twenty-five comments addressed the proposal to develop models for 
centers of excellence in research. A number of respondents questioned 
this approach and suggested alternatives for configuring research 
centers, such as developing partnerships with for-profit companies, 
universities, or other agencies. Seventeen respondents supported this 
priority area as it was described. Many comments in both categories 
supported the graduate research and medical research fellowships issued 
previously. Both

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topics were intended to support the continued development of a research 
infrastructure and to attract new researchers to the field. These goals 
have been combined in priority area (1.01) for a block of fellowships 
for doctoral or medical students and a faculty member to conduct child 
abuse and neglect research.
    Seventeen responses addressed the two priority areas proposing 
service demonstrations on models for neglect. Thirteen made suggestions 
for improving the priority area, only one did not support the priority. 
Comments focused primarily on clarifying the populations to be served 
and studied, the service approaches to be demonstrated, and the 
partnerships required between the proposed organization and child 
protection service agencies and/or community-based programs. Many 
writers suggested additional populations meriting study (e.g., families 
with substance abuse and addiction problems, families experiencing 
domestic violence, parents with mental retardation, families of 
adoption, and families with children with special needs). Respondents 
expressed the need to select clearly defined, homogeneous populations 
in order to conduct rigorous research and have generalizable findings. 
With regard to the two approaches discussed in the announcement 
(ecological and psychosocial), over half supported a combined approach. 
The remainder stressed the importance of matching the approach to 
client needs, available resources, and selection of outcome variables 
and measures. Those comments have been incorporated into the priority 
appearing in this announcement. Based on comments, the project length 
will be expanded to five years.
    Ongoing infrastructure support activities, such as resource centers 
and training and technical assistance activities, also received support 
for continuation.
    Other respondents indicated the need to acknowledge the role 
parental substance abuse and domestic violence may play in preventing 
and treating child abuse and neglect regardless of topic focus. NCCAN 
supports including these issues, as appropriate, and will reiterate in 
the priority area descriptions the need to focus on parental substance 
abuse and domestic violence as important issues, as research study 
variables, and as co-occurring problems in demonstration projects.
    NCCAN encourages applications from applicants who bring a special 
understanding of the dynamics of communities over-represented in the 
child protective service and child welfare systems. There is a 
compelling need to generate knowledge about these populations through 
research based upon conceptual frameworks that include appropriate 
cultural and sociological perspectives. Researchers with experience or 
the potential to examine over-represented and/or under-served 
populations can make significant and unique contributions to knowledge 
about child abuse and neglect, diversity, and over-representation. 
Applications from Historically Black Colleges and Universities may 
receive special consideration, in concurrence with Departmental 
precedent.
    Applicants are strongly encouraged to build new studies on the 
findings of previously funded NCCAN grants. Information on prior 
research and demonstration projects supported by NCCAN and other 
studies on child maltreatment are available from the Clearinghouse on 
Child Abuse and Neglect Information, P.O. Box 1182, Washington, DC 
20013, (1-800-FYI-3366). The Clearinghouse (a member of the Consortium 
of Clearinghouses) can provide information on the other Clearinghouses 
and Resource Centers having special information resources on substance 
abuse and domestic violence.
1.01 University-Based Doctoral or Medical Student and Faculty 
Fellowships in Child Abuse and Neglect
    Eligible Applicants: Institutions of higher education, including 
medical schools, teaching hospitals, and Historically Black Colleges 
and Universities on behalf of qualified doctoral students, medical 
students, residents (medical, surgical, pediatric, or others), house 
officers, or fellows enrolled in the institution and faculty employed 
by the institution. To be eligible to administer such a grant, the 
institution must be fully accredited by one of the regional 
institutional accrediting commissions recognized by the U.S. Secretary 
of Education and the Council on Post-Secondary Accreditation, the 
Accreditation Council for Graduate Medical Education, American 
Association of Medical Colleges, or the Liaison Committee for Medical 
Education, as applicable. While an individual is considered to be the 
beneficiary of the grant support, awards will be made only to eligible 
institutions on behalf of their qualified candidates.
    Purpose: To provide support for doctoral students, medical 
students, residents, house officers, or fellows, who show promise and 
demonstrate serious interest and commitment to issues of child 
maltreatment and faculty to conduct research on critical issues in 
child abuse prevention, identification, and treatment in order to 
cultivate the academic infrastructure, support the growth of the 
university-based research capacity for child abuse and neglect, and 
encourage doctoral-level students and faculty to pursue careers in 
child abuse and neglect research.
    Background Information: The research community has highlighted the 
need to draw new researchers into the field of child abuse and neglect 
(Understanding Child Abuse and Neglect, National Research Council, 
Washington, D.C.: 1993). During FYs 1991, 1992, and 1994, NCCAN funded 
26 graduate research fellowships for doctoral candidates to complete 
dissertations addressing critical issues in child abuse and neglect. 
This activity proved rewarding for NCCAN and garnered the support of 
the field. NCCAN is expanding this effort to include doctoral students, 
medical students, residents, or fellows, and faculty interested in 
pursuing child abuse and neglect research projects. Faculty, doctoral 
students, and students in medical schools, resident or fellows programs 
are encouraged to apply for support through their schools and 
interdisciplinary programs in social sciences, human development, 
community and family development, human services, social work, 
medicine, nursing, special education, early childhood education, 
psychology, sociology, anthropology, public health, child study, 
minority studies, and criminology.
    NCCAN proposes to award funds for fellowships in blocks to eligible 
institutions. Each institutional block would contain up to four 
students and one faculty member. The students and faculty member may 
pursue their own individual research or work on coordinated projects on 
child abuse and neglect. In addition to submitting all the required 
reports to NCCAN, the faculty member's work may lead to publications 
and the students' work may lead to their doctoral dissertations or 
fulfill the requirements of a major research project (e.g., independent 
study projects requiring a minimum commitment of 6 to 9 graduate credit 
hours).
     Institutions will be selected competitively, with attention to 
geographic distribution, and with at least one grant to Historically 
Black Colleges and Universities (HBCU) in order to generate research 
and researchers particularly responsive to issues of cultural context 
and the over-representation of some groups in child protective systems.

[[Page 30753]]

    Examples of the proposed topics to be addressed and issues to be 
studied for these fellowships include, but are not limited to, the 
following topics: (1) Prevention effectiveness studies; (2) CPS service 
interventions and outcomes studies; (3) treatment outcome studies; (4) 
studies focusing on over-represented and/or under-served populations in 
the child welfare and child protective services; (5) studies of the 
impact of managed care on child maltreatment prevention and treatment 
programs; and (6) secondary analysis of existing data sets. Medical 
students, residents, and fellows are also encouraged to consider 
research on new medical screening, diagnostic, or interview protocol 
techniques or treatments for child abuse and neglect.
    NCCAN has a general interest in research conducted in cooperation/
partnership with State or local Child Protective Services/child welfare 
systems, prevention-oriented and/or service-providing community-based 
organizations and/or systems, and teaching hospitals with 
multidisciplinary child protection teams.
    (1) Prevention effectiveness study topics might include tests of 
effectiveness for various models of developmentally appropriate, 
comprehensive prevention services in various settings; effectiveness of 
parenting education and peer-support parent programs; studies of how 
interactions between fathers and children promote or reduce the risk of 
child maltreatment; studies of the relationship of parental discipline 
practices and child maltreatment; or other topics related to prevention 
effectiveness as proposed by applicants.
    (2) Research studies on CPS service interventions and outcomes with 
particular interest on families: (a) Referred to CPS, whose cases were 
unsubstantiated or unfounded, but were found to need services, and were 
referred for, or provided services, whose cases are now open or closed; 
(b) follow-up studies with families whose child abuse or neglect cases 
were substantiated or indicated, who received services that might have 
included short-term placement and reunification, and whose cases are 
now closed; and (c) families whose child abuse or neglect cases have 
been substantiated or indicated, who are receiving services which might 
include short-term placement and reunification, and whose cases are 
currently open. We are also interested in system responses to cases 
involving multiple forms of abuse. NCCAN encourages studies on the 
combination of neglect and physical abuse; cases involving substance 
abuse and/or domestic violence are also of interest. Type of services 
and moderating variables that impact the outcomes of service should be 
carefully defined. Family and child outcome variables might include 
service impacts on: (a) Child health and development, child and family 
functioning, recidivism, and frequency and duration of removals from 
these families, if any; (b) costs/cost effectiveness of service 
delivery approaches; (c) other issues related to these three 
populations as proposed by applicants.
    (3) Treatment outcome study topics of interest include studies of 
the effectiveness of various approaches to the treatment of: (a) 
Children subjected to multiple forms of maltreatment; (b) child abuse 
and domestic violence; and (c) child abuse and substance abuse; or 
other subtopics related to these three areas, as proposed by 
applicants.
    (4) Studies exploring the unique cultural dynamics of communities 
over-represented in the child protective service and child welfare 
systems; studies generating knowledge about the conceptual frameworks, 
sociological, psychological, and cultural perspectives which can inform 
interventions operating in these communities; examinations of over-
represented and/or under-served populations; or other topics related to 
cultural dynamics as proposed by applicants.
    (5) Studies of the impact of managed care on the delivery of child 
maltreatment prevention and treatment programs.
    (6) Secondary analysis of existing data. NCCAN encourages the use 
of NIS, NCANDS, data-sets collected through other ACF-funded awards, 
and data stored at the National Data Archives on Child Abuse and 
Neglect located at Cornell University, Family Life Development Center, 
G20 MVR Hall, Ithaca, New York 14853-4401; telephone: 607-255-7794.
    Each applicant institution should prepare a single submission 
packet composed of (up to) five individual research proposals. Each 
individual proposal will be evaluated against the criteria for 
evaluating research projects. For this priority area only, an exception 
is made regarding the 60-page limit described elsewhere in this 
announcement. However, the text of each individual proposal should not 
exceed a maximum of 15 pages. The total text for the five proposals 
cannot exceed a maximum of 75 pages. Application forms and all required 
attachments can add up to 25 more pages. Thus the total length of the 
institutional submission, including text, application, and attachments 
may be up to 100 pages. Human Subjects Assurances must be completed for 
each individual proposal; however, all other assurances should be 
submitted only once, by the institutional applicant. The academic 
institution, in accepting the award, agrees to waive overhead charges 
(indirect costs) and pass the entirety of the funds on to students and 
faculty as fellowships.
    Minimum Requirements for Project Design: As part of addressing the 
evaluation criteria outlined in Part II of this announcement, each 
applicant must address the following items in the program narrative 
section of the proposal.

Objectives

     Pinpoint the research problem being addressed.
     State the specific objectives of the study.
     State the question(s) or hypothesis(es) to be tested.

Background and Significance

     Discuss the current state of knowledge related to the 
research problem.
     Provide a review of the relevant literature, including any 
pilot tests.
     Demonstrate a conceptual framework that includes 
appropriate cultural perspectives and references theory or craft 
knowledge in support of the study.
     Establish the need for the study as either a replication 
to validate existing knowledge or as a new study to fill a knowledge 
gap. If applicable, indicate how the proposed study is distinguished 
from other on-going research of which it is a part.
     Indicate how the proposed study findings significantly 
inform policy, improve practice, and/or advance the science of child 
abuse and neglect research.
     Include all bibliographic references.

Methodology

     Describe the proposed methodology. Define the terms, 
variables, and design to be used in the study.
     Describe the population and sampling plan, the rationale, 
strengths, and potential limitations for interpretations of findings 
due to the gender and ethnic composition of the proposed study sample.
     Describe recruitment and retention procedures; provide 
realistic estimates of attrition, and discuss appropriate procedures 
for handling attrition or interpreting the findings of the study in 
light of attrition.

[[Page 30754]]

     Identify data sources, data collection procedures, and 
instruments, including information on reliability and validity of the 
instruments with the population proposed. If the study proposes 
secondary data analysis, describe access to the data source. Describe 
data management to safeguard the integrity and confidentiality of data.
     Describe the plan to prepare study data according to sound 
data processing and documentation practices in accordance with the 
needs of the National Data Archive on Child Abuse and Neglect.
     Provide a data analysis plan.
     Assure protections for human subjects; describe procedures 
for soliciting approval from an institutional review board (IRB), if 
applicable.
     Reflect sensitivity to ethical issues that may arise and 
make provision for reporting suspected abuse and/or neglect as governed 
by applicable laws and regulations.
     Provide a fiscally responsible and workable plan of 
action; detail a reasonable time-line and target dates; include an 
adequate staffing plan, listing key and support staff, consultants, any 
agency, organization, other key group, and/or advisory panels involved 
or proposed; describe the responsibilities, activities, and/or training 
plans for each, if applicable.
     Describe strategies for disseminating the findings in a 
manner that would be useful to other researchers and practitioners in 
the field.

Staff Background and Organizational Experience

     Include evidence that the student candidates are enrolled 
and in good standing as doctoral or medical students, residents, or 
fellows in the sponsoring institution and verify the employment status 
of the faculty candidate.
     Document the agreement between the dean or chairperson and 
the faculty candidate indicating that the faculty candidate will be 
permitted to conduct the research project as part of his/her academic 
duties, and if needed, that a senior faculty member would be available 
to guide the project.
     Include a letter of support from a tenured faculty member, 
advisor, Dean, or Chairperson for each student seeking a fellowship, 
recommending the student's capability to undertake a research project 
of this nature.
     Describe the corporate capability of the institution to 
support a research initiative, in terms of the existing research 
infrastructure and academic climate.
     Include a short resume for each candidate (limit to one 
page) including information on education and relevant experiences.
     Describe the relationship between this project and any 
other Federally-assisted work planned, anticipated, or underway, by the 
applicant.
     Provide assurances that each candidate will attend a 
three-day annual spring meeting of NCCAN research grantees in 
Washington, D.C.; prepare a pre-meeting abstract of the research, 
quarterly progress reports, and a final project report in an NCCAN-
suggested format ensuring ease of dissemination and utilization; 
prepare and submit at the conclusion of each individual study, the data 
in accordance with the needs of the National Data Archive on Child 
Abuse and Neglect, as described.
    Project Duration: The length of the project may not exceed 17 
months.
    Federal Share of the Project Costs: The maximum Federal share of 
the project is not to exceed $75,000 per university or institution to 
fund up to four student-candidates at $13,750 each and $20,000 for the 
faculty candidate.
    Matching Requirement: There is no matching requirement.
    Anticipated Number of Projects to be Funded: It is anticipated that 
3 sites will be funded.
2.01 Demonstration Models on Neglect
    Eligible Applicants: Public or private nonprofit agencies, 
organizations, and institutions of higher learning. For-profit 
organizations are eligible to participate as subgrantees or 
subcontractors of eligible non-profit organizations.
    Purpose: The intent of this priority area is to fund service models 
that address the prevention, intervention, and treatment needs of 
neglected children and their families. These models should provide for 
(a) early identification of families at risk of neglect, (b) 
identification of chronically neglectful families, and (c) neglected 
children (in placements or reunified) who may be in need of special 
services.
    Projects may either present innovative approaches or be 
replications of previously evaluated and promising models. In either 
case, proposed models should build on previous research findings and 
NCCAN-sponsored symposium findings; they should also incorporate mental 
health, substance abuse, parenting education, and family support 
services. They should collect data on the costs and potential cost 
benefits of providing the proposed services. A strong evaluation 
component will be essential.
    Background Information: Child neglect is the most common form of 
child maltreatment today. According to the latest NCANDS data available 
(Child Maltreatment 1994: Reports from the States to the National 
Center on Child Abuse and Neglect), 52.9% of all cases substantiated by 
child protection service agencies are neglect cases. Since NCANDS began 
tracking cases, neglect has been the predominant type of maltreatment. 
This is also true of the NIS data. Yet, efforts to focus attention on 
neglect have lagged significantly behind other forms of maltreatment.
    Research indicates that the consequences for children who are 
neglected have a long-term negative impact. Child victims of neglect 
fail to develop secure psychological attachments as infants, and this 
seriously hinders their subsequent development. Neglected preschool 
children demonstrate a lack of readiness for learning, behavior 
problems, and less active interaction with peers. School-aged neglected 
children do poorly in school. The connection between delinquency and 
neglect is less clear, although according to some preliminary data from 
the U.S. Department of Justice's National Institute of Justice 
(Research Preview, February 1996), adolescents neglected as children 
were equally likely to be arrested for violent crimes as physically 
abused children. Neglected children under age 3 are at high risk for 
child fatalities. Parents of neglected children are also more likely 
to: have limited intellectual functioning; experience depression; abuse 
alcohol and drugs; and have limited education (Gaudin, Polansky, 
Kilpatrick and Shilton. ``Loneliness, Depression, Stress and Social 
Supports in Neglectful Families,'' October 1993, American Journal of 
Orthopsychiatry, Vol. 63, No. 4, pp. 597-605).
    To address one aspect of this problem, NCCAN convened a symposium 
on chronic neglect in June 1993. Building upon lessons learned from 
previous demonstration models on neglect, the symposium addressed 
consensus-building on definitions, strategies for change through 
empowerment, research, treatment and policy topics. The Chronic Neglect 
Symposium Proceedings (1993) are available from the NCCAN Clearinghouse 
(800-394-3366). A number of studies referred to in the Proceedings 
suggest that programs for neglectful families based on building 
interpersonal strengths, fostering individual empowerment, and ensuring 
the provision of basic human needs in a safe environment were most 
likely to improve parenting, self-esteem

[[Page 30755]]

and coping ability among the neglectful population.
    Designing services for families that neglect children is a 
challenge. Both ecological and psycho-social factors influence the 
manifestation of neglect. The many differences among neglectful 
families, including cultural and sociological distinctions, dictate a 
service model based on careful assessment of the family and services 
designed specifically for them.
    Projects may be based on either an ecological, i.e., a neighborhood 
model, or the psycho-social model. If a project chooses the ecological 
model, it must be aggressive in its outreach to the community; 
conversely, if a project chooses to follow the psycho-social model, it 
must include home-based/family support services, parenting education, 
substance abuse and mental health services in its approach to 
addressing neglect.
    The U.S. Advisory Board on Child Abuse and Neglect focuses on the 
ecological aspects in their report, Neighbors Helping Neighbors (1993). 
The report recommends several strategies for strengthening 
neighborhoods and improving the quality of support available to 
families within their own communities, as a national strategy for the 
protection of children. Recommendations include:
     Involving residents as participants, planners and managers 
of neighborhood services,
     Encouragement of foster grandparent programs,
     Empowerment through home ownership,
     Implementing prevention zones by public/private 
partnerships, and
     Funding more family resource centers.
The importance of neighborhoods in combatting neglect is also 
emphasized in the 1994 Kids Count Data Book (The Annie E. Casey 
Foundation, pp. 4-7).
    The report issued by the National Research Council (NRC, 1993, pp. 
50-52) also highlights the ecological aspects. That report states that 
``dysfunctional families are often part of a dysfunctional 
environment'' (p. 60). Its recommendations for intervention programs 
include: home-based approaches, improving socio-economic conditions and 
reversing social isolation.
    Other research focuses on the psycho-social foundations of neglect. 
DiLeonardi (``Families in Poverty and Chronic Neglect of Children,'' 
November 1993, Families in Society, Vol. 74, No. 9, pp. 557-562), 
reported that ``family empowerment, the use of groups to develop social 
support networks, and the assistance of volunteers or paraprofessionals 
as home visitors or parent aides, appear to be beneficial'' to families 
reported for neglect. The study concluded that families were able to 
reverse their neglectful child-rearing patterns with this model of 
service. DePanfilis (``Social Isolation of Neglectful Families: A 
Review of Social Support, Assessment and Intervention Models,'' 
February 1993, Child Maltreatment, Vol. 1, Issue 1, pp. 37-52) also has 
suggested that programs that address the social isolation of neglectful 
parents by teaching them social and interactional skills work well.
    Gaudin, et al., also found that family dynamics explains a 
significant portion of the variance in quality of parenting and 
neglect. Depression and substance abuse, for example, have been 
suggested as powerful forces in family dynamics and mediators of 
neglect.
    Recent work by the Kansas Cooperative Extension Service (Smith, 
C.A., Cudaback, D., Goddard, H.W., & Myers-Walls, J., 1994, National 
Extension Parent Education Model) may provide a useful guide for 
designing the parent education component of a comprehensive psycho-
social model. Parent education can help parents in many ways including: 
learning to care for themselves, managing personal stress, managing 
family resources; providing children with developmentally appropriate 
opportunities and learning appropriate disciplinary techniques; 
maintaining developmentally appropriate expectations of children; 
improving communication skills, building social support systems; and 
learning to access community, social service, and family support 
resources.
    Structurally, these projects are intended to function cooperatively 
as a cluster. NCCAN proposes funding a minimum of four demonstration 
projects on neglect. Participation in a cluster affords the grantees 
the greatest opportunities to cooperate and collaborate. NCCAN will 
assist this cooperation by providing assistance through a technical 
assistance contract, encouraging meetings to develop common evaluation 
criteria, data elements, and measures to maximize comparability of 
evaluation findings. Evaluations will be required of each demonstration 
project. Priority will be give to those who provide evidence of 
partnership between CPS/IV-B agencies which provide Family 
Preservation/Family Support services and community-based mental health/
family resource centers.
    NCCAN is especially interested in examinations of core services and 
studies of essential elements in treatment, and outcome studies. 
Projects which address issues related to family preservation and family 
support are encouraged as are demonstrations related to treatment 
outcomes and practitioner evaluations.
    Minimum Requirements for Project Design: As part of addressing the 
evaluation criteria outlined in Part II of this announcement, each 
applicant must address the following items in the program narrative 
section of the proposal.

Objectives and Need for Assistance

     Pinpoint the child neglect-related problem or issue that 
needs to be addressed and establish the need for assistance; state the 
principal and subordinate objectives of the project. State goals and 
objectives in specific, measurable form for evaluation purposes.
     Identify the conceptual framework used as the basis for 
the proposed model and provide a review of the relevant literature; 
include information about similar successful demonstration projects 
that may have implications for the proposed demonstration; and provide 
supporting documentation or other testimonies from concerned interests 
other than the applicant.
     Demonstrate an awareness of current initiatives in the 
field and how the approach being proposed would build on this work.
     Describe whether the proposed project replicates or 
modifies a previously-evaluated model which addresses the identified 
need.
     Identify the precise location of the project, community, 
and population to be served by the proposed project.

Approach

     Describe the approach in detail and point out its unique 
features including sensitivity to cultural, sociological, 
psychological, and ethnic dynamics which have affected the choice of 
approach.
     Describe a sound and workable plan of action and time-line 
which match the scope of the project and explain how the proposed work 
will be accomplished.
     Cite factors which might accelerate or delay this 
approach, giving acceptable reasons for taking this approach as opposed 
to others.
     Include an adequate staffing plan, listing key and support 
staff, consultants, any agency, organization, other key group, and/or 
advisory panels involved or proposed; describe the responsibilities, 
activities, and/or

[[Page 30756]]

training plans for each (if applicable). If the proposed project is a 
collaboration, the application must describe the nature and extent of 
the collaboration and the responsibilities of the respective agencies 
in carrying out the activities identified in the work-plan.
     Propose an evaluation plan. Discuss the methods and 
criteria to be used to evaluate the process, outcomes, or impacts of 
the project in terms of the objectives of the project. Identify the 
kinds of data to be collected and maintained for this purpose. An 
external evaluator may be hired or an internal evaluation may be 
designed. It is recommended that approximately 15 percent of the 
proposed budget be set aside for evaluation efforts.

Results or Benefits Expected

     Identify the results and benefits to be derived by 
clients, community, agency, and NCCAN as a result of the implementation 
and evaluation of this project. Discuss how project findings are likely 
to improve practice and inform policy related to neglectful families.
     Justify proposed project costs in view of the expected 
results.
     Describe strategies for disseminating findings to other 
practitioners in the field.

Staff Background and Organization Experience

     Identify the educational and professional background of 
the project director and key project staff.
     Describe the organization's ability to administer and 
implement the project effectively and efficiently.
     Identify precisely the role of the author(s) of this 
proposal in relation to the work plan and administrative structure.
     Describe the relationships between the proposed project 
and other Federally assisted work planned, anticipated, or underway by 
the applicant.
     Provide assurances that at least one key staff person will 
attend an annual three-day meeting in Washington, DC.
     Grant recipients will be expected to follow an NCCAN-
suggested format in preparing final program reports and copies of final 
reports and other products shall be provided to the Clearinghouse.
    Project Duration: The length of the project must not exceed a five-
year period.
    Federal Share of Project Cost: The maximum Federal share of this 
project is not to exceed $150,000 for the first 12-month budget period 
or a maximum of $750,000 for a period of five years. Funding for 
subsequent years may exceed the amount specified above for the first 
budget period based on a comprehensive needs assessment submitted by 
the grantee and the availability of funds.
    Matching Requirement: Grantees must provide a non-Federal share or 
match of at least 25 percent of the Federal funds awarded. The non-
Federal share may be met by cash or in-kind contributions, although 
applicants are encouraged to meet their match requirements through cash 
contributions. Therefore, a five-year project requesting $750,000 in 
Federal funds (based on an award of $150,000 per 12-month budget 
period) must include a match of at least $187,500 ($37,500 per budget 
period).
    Anticipated Number of Projects To Be Funded: It is anticipated that 
a minimum of four projects will be funded.
2.02  National Resource Center on Child Maltreatment
    Eligible Applicants: Any State, local, public or private non-profit 
agency or organization, including accredited colleges and universities, 
may apply under this announcement. Applications developed jointly by 
State, local, and community-based social service agencies, foundations, 
colleges or universities and private non-profit organizations that 
bring complementary expertise to bear on the resource needs of the 
child maltreatment field are encouraged.
    Purpose: The primary purpose of the National Resource Center on 
Child Maltreatment (NRCCM) is to deliver direct, on-site, as well as 
state-of-the-art communication, technology-based training, technical 
assistance, consultation, and related resource materials and 
information to State, local, Tribal, and other publicly-administered or 
supported agencies and organizations that work in child maltreatment 
prevention, identification and treatment services, (e.g., Child 
Protective Service agencies, Children's Justice Act grantees, 
Prevention grantees, and Tribal agencies and Organizations) to build 
their capacity for developing, expanding, strengthening and/or 
improving the quality and effectiveness of such services for child 
victims of maltreatment and their families. A second purpose of the 
NRCCM is to engage in ancillary activities which support the delivery 
of training and technical assistance to the field, and to provide 
advice, consultation, materials and information, as requested, to 
private organizations and agencies, including disability organizations, 
and individuals engaged in child maltreatment prevention, 
identification, and treatment services.
    The NRCCM will have a central role helping States, local agencies 
and Tribes to improve and strengthen child maltreatment prevention, 
identification, and treatment services for children and their families. 
This will be accomplished by collaborating and coordinating with 
related Administration on Children, Youth and Family (ACYF) funded 
Resource Centers, Training and Technical Assistance Networks, 
contractors, and Clearinghouses, especially with those funded by the 
National Center on Child Abuse and Neglect (NCCAN), Children's Bureau 
(CB), and the Family and Youth Services Bureau (FYSB). The NRCCM must 
possess the expertise, knowledge and skill to provide quality training, 
technical assistance, consultation, and appropriate materials and 
information to relevant target audiences, both public and private.
    Specific training, technical assistance, consultation and related 
material and information needs of publicly-administered or supported 
child maltreatment prevention, identification and treatment service 
agencies will be identified in consultation with NCCAN Central Office 
staff, the ten ACYF Regional Offices, the State agency staff, and plans 
for meeting those needs will be coordinated with representatives of 
NCCAN, CB and FYSB funded Resource Centers, Training and Technical 
Assistance Networks, contractors, and clearinghouses. Similarly, the 
need for ancillary activities to support delivery of training and 
technical assistance, consultation, advice, materials and information 
for private organizations and agencies, including disability 
organizations, and individuals who work in the field of child 
maltreatment, will be identified in consultation with the relevant 
organizations, agencies and/or individuals.
    Background Information: Section 105(b)C of the Child Abuse 
Prevention and Treatment Act (CAPTA), as amended, requires NCCAN to 
provide technical assistance to public and private agencies and 
organizations, including disability organizations and persons who work 
with children with disabilities, to assist such agencies and 
organizations in planning, improving, developing and carrying out 
programs and activities related to the prevention, identification, and 
treatment of child abuse and neglect.
    Section 106(b) of CAPTA, as amended, requires Resource Centers to 
be established that serve defined geographic areas; that are staffed by 
multi-disciplinary teams trained in the

[[Page 30757]]

prevention, identification and treatment of child abuse and neglect and 
that provide advice and consultation to individuals, agencies and 
organizations requesting such services.
    To carry out this CAPTA mandate, in Fiscal Year 1991, NCCAN 
supported a National Resource Center on Child Sexual Abuse, operated by 
the National Children's Advocacy Center, Huntsville, Alabama, and a 
National Resource Center on Child Abuse and Neglect, specializing in 
physical abuse and neglect, operated by the American Humane 
Association, Denver, Colorado. These Centers were funded through five-
year cooperative agreements starting September 30, 1991 and ending on 
September 29, 1996. The functions of these resource centers were 
broadly defined. The major activities under each of these resource 
centers have been in the areas of knowledge-building, dissemination of 
information, and consultation. The Centers also conducted a limited 
amount of training and technical assistance activities.
    To comply with the CAPTA mandate on a continuous basis starting 
with Fiscal Year 1996, NCCAN seeks to support a minimum of one but not 
more than two National Resource Center(s) on Child Maltreatment (NRCCM) 
through a cooperative agreement(s). This NRCCM is expected to have 
qualified, multi-disciplinary personnel trained in prevention, 
identification, and treatment in the whole spectrum of child 
maltreatment--child neglect, physical abuse, psychological 
maltreatment, and sexual abuse--adequate resources, organizational, 
professional, and educational capability and the expertise to carry out 
the intent of this announcement.
    The decision to fund a minimum of one but not more than two 
resource centers starting with Fiscal Year 1996, reorienting the focus 
of the center(s) to training, technical assistance, consultation, and 
delivering related materials and information, across the whole spectrum 
of child maltreatment, is made after taking into consideration several 
factors. They include: the lessons learned from the operation of two 
specialized resource centers during the past five years; funding 
limitations; the need to avoid duplication of effort; the need to 
maximize the use of Federal dollars and its benefits for the field; the 
requirement of field staff to deal with clients who often are victims 
of multiple types of abuse; current trends; and a critical need to 
develop training and technical assistance that will address specific 
State needs.
    NCANDS is the primary source of national information on abused and 
neglected children known to State child protective services agencies. 
Child Maltreatment 1994 discusses NCANDS findings from 1994 data and 
presents the overall child abuse and neglect data for the five years of 
data collection, 1990 through 1994. According to this report, in 1994, 
48 States reported that 1,011,628 children were determined to have been 
victims of abuse and neglect, and State child protective services 
agencies received reports of alleged maltreatment involving more than 
2.9 million children. The report found that 53 percent of maltreated 
children suffered neglect, 26 percent physical abuse, 14 percent sexual 
abuse, and 5 percent emotional abuse, and 22 percent other forms of 
maltreatment. The loss of life is the most severe repercussion of child 
abuse and neglect. Forty-three States reported that 1,111 children died 
as a result of abuse in 1994.
    The number of children who were the subjects of reports of alleged 
maltreatment increased from 2.6 million in 1990 to 2.9 million in 1994. 
The number of ``substantiated'' or ``indicated'' victims of 
maltreatment increased almost 27 percent from 1990 to 1994. 
Characteristics of victims were consistent across the years. In each of 
the five years, neglect was the predominant type of maltreatment. The 
number of neglect victims was consistently more than two times the 
number of physical abuse, the next most common type of maltreatment. 
Almost all of the victims were 8 years of age or younger; though a 
surprising 25 percent were twelve years of age and older. Fifty-two 
percent of all victims were female and 46 percent were males. Child 
protective services agencies identified almost 5,400 children who died 
as result of abuse or neglect from 1990 through 1994.
    Other recent studies using different reporting methodologies have 
estimated that many more children are being abused than are ultimately 
verified by States. For example, preliminary results from the Third 
National Incidence Study of Child Abuse and Neglect (NIS-3) estimate 
that almost three times the State-reported number of children are 
maltreated.
    In this context, the Federal government is redefining its 
relationship with States and other child welfare agencies. The new 
partnership being forged is based upon the vision wherein all concerned 
agencies collaborate and cooperate to provide a continuum of services 
to meet the needs of the increasing number of maltreated children and 
their families. This comes at a time when steady increase in caseloads, 
consisting of much more complex, multiple problem cases, are 
confronting child maltreatment prevention, identification, and 
treatment service programs. Throughout the country child maltreatment 
service agencies, practitioners, and university-based personnel now are 
demonstrating resiliency and creativity in response to these 
circumstances. Skilled child maltreatment service professionals are 
devising innovative solutions to numerous challenges, more often than 
not, in the face of insufficient human, material, and financial 
resources.
    To meet the challenges of the current period, and overcome existing 
resource deficiencies, capacity-building is needed by State, local, 
Tribal and other private agencies, organizations as well as individuals 
who are engaged in the prevention, identification and treatment of 
child maltreatment. NRCCM is vital to making the most of this 
opportunity with training and technical assistance, consultation, 
advice and provision of related resource materials and information. 
Support for this newly conceptualized NRCCM reflects NCCAN's commitment 
to enhance the continuum of services for maltreated children and their 
families.
    The term `child maltreatment' in this priority announcement is 
broadly defined to include child neglect, physical abuse, psychological 
maltreatment, medical neglect, and sexual abuse.
    `Cooperative agreement' in this announcement refers to Federal 
assistance in which substantial Federal involvement is anticipated.
    Minimum Requirements for Project Design: As part of addressing the 
evaluation criteria outlined in Part II of this announcement, each 
applicant must address the following items in the program narrative 
section of the proposal.

Objectives and Need for Assistance

     Describe the training, technical assistance, consultation, 
and related materials and information needs of publicly supported/
administered agencies and organizations engaged in child maltreatment 
prevention, identification, and treatment. Identify the auxiliary 
activities needed to support training, technical assistance, 
consultation to the field, and related materials and information needs 
for private organizations and agencies engaged in child maltreatment 
prevention, identification, and treatment.
     Demonstrate awareness of training and technical assistance 
initiatives currently underway at State and national levels. Describe 
how the

[[Page 30758]]

proposal does not duplicate existing efforts.
     State the primary and secondary objectives of the proposed 
resource center in specific measurable terms.

Approach

     Describe the proposed activities in detail; point out the 
scope and unique features.
     List the type of training, technical assistance, 
consultation, advice, and related material and information needs to be 
provided.
     Provide a plan for delivering training, technical 
assistance, consultation, materials and information in response to the 
identified needs, from year one through year five (a minimum of one 
training and/or technical assistance activity in at least one of the 
States in each of the ten ACYF regions is expected during the first 
year; subsequent year's activities will be phased in) and specify the 
delivery mode (e.g., principally on-site and in combination with the 
use of state-of-the-art communications technology). Include a time-line 
for the activities. Cite factors which might accelerate or delay this, 
giving acceptable reasons for addressing these factors.
     Include a staffing plan for each activity, listing key and 
support staff, consultants, any agency, organization, other key group, 
and/or advisory panels involved or proposed; describe the 
qualifications, responsibilities and activities for each person.
     Applications developed jointly by two or more 
organizations must identify a single lead agency to be the primary 
administrator of the NRCCM and the official recipient of the award; the 
other applicant may be named as co-applicant. Joint applications must 
delineate methods for coordinating activities and each organization's 
responsibilities and contributions to completing the tasks identified 
in the work plan.
     Present strategies for obtaining input from the ten ACYF 
regional offices, NCCAN central office, the State and local agencies 
themselves.
     Describe a plan for coordinating and establishing 
effective linkages and collaborative working relationships with 
relevant programs and other training and technical assistance providers 
funded by Federal agencies. Specifically, NRCCM is expected to 
establish effective linkages and appropriate coordination with the 
Community Based Family Resource Program, NCCAN Emergency Services 
Technical Service Contractor, seven resource centers funded by the 
Children's Bureau, the three statewide Family Resource and Support 
model projects initially funded by the Family and Youth Services Bureau 
(FYSB), and the Technical Assistance Resource Coordination contract 
funded by the Children's Bureau to assure effective utilization of 
resources and to avoid duplication of efforts.
     Describe a plan for utilizing Federal funds and matching 
contributions to meet requests for on-site training, technical 
assistance, consultation, materials, etc., from public agencies. Since 
the Resource Center will have considerable, but finite, Federal funds, 
applicants must present strategies for prioritizing requests and 
maximizing available financial resources, including techniques such as, 
but not limited to, subsidized cost-sharing arrangements with the 
service recipient State, local, and Tribal agencies and/or 
organizations. Justify the proposed costs.
     Describe how on-going requests for consultation and 
advice, and requests for training, technical assistance, related 
materials and information from the private agencies, organizations, and 
individuals will be handled, including techniques such as subsidized 
cost-sharing. Justify the proposed costs.
     Describe a plan to ensure that the services and program 
activities of the Resource Center respond to cultural issues, 
ethnically and culturally sensitive activities are furnished to the 
populations being served, and the Resource Center staff is ethnically 
and culturally diverse, and reflective of the populations being served.
     Describe a plan to continually develop a national pool of 
professionals in the field to serve as consultants and to link these 
individuals with agencies, organizations, and individuals requesting 
assistance.
     Provide a plan for the NRCCM's own evaluation of the 
quality of its training, technical assistance, consultation, and 
provision of related materials and information, including plans for 
eliciting consumer input. Discuss the methods and criteria to be used 
to evaluate the process, outcomes, and impacts of the NRCCM. Identify 
the kinds of data to be collected and maintained for the internal 
evaluations. This data must also be made available to an independent 
external evaluator, selected and funded by NCCAN.

Results or Benefits Expected

     Identify the results and benefits to be derived from the 
project in terms of the objectives of the proposal and as assessed by 
the evaluation.
     Justify the proposed project costs in view of the expected 
benefits and results.

Staff Background and Organization Experience

     Describe the full-time and part-time staff, as well as 
project consultants, if any, with specific expertise, including 
educational qualifications, training, experience and discipline of 
each.
     Identify precisely the role of the author(s) of this 
proposal in relation to the work plan and administrative structure.
     Demonstrate the organization's ability to administer and 
implement the project effectively and efficiently.
     Describe the organization's orientation to training and 
technical assistance and any conceptual frameworks to be used in 
designing and delivering training and technical assistance (e.g., 
multi-disciplinary, inter-agency, cross-program, comprehensive, 
collaborative).
     Document a commitment to and experience in providing 
training, technical assistance, consultation, and related materials and 
information, to agencies and organizations, both public and private, as 
well as to individuals engaged in prevention, identification and 
treatment of child maltreatment among economically, racially, and 
culturally diverse population, including organizations and individuals 
who serve maltreated children with disabilities and their families.
     Describe the administrative and organizational structure 
and the management plan for the project. An organizational chart 
depicting these structures must be included.
     Describe the relationships between the proposed project 
and other Federally assisted work planned, anticipated, or underway by 
the applicant.
     Provide assurance that the NRCCM will cooperate with a 
third-party evaluator which will evaluate the operation of the center, 
its outreach, and outcomes over the first two-year period and agree to 
the principle that further funding will depend on the evaluation 
findings. This evaluation will be funded by NCCAN under a separate 
contract.
     Provide assurances that two key staff persons would attend 
two annual 1 or 2 day meetings in Washington, D.C. for the project 
directors of Resource and Research Centers and Clearinghouses organized 
by the Children's Bureau.
     Provide assurances that at least two key staff members 
will attend up to six meetings in Washington during the first year for 
periodic review of the work plan and/or attend various NCCAN-

[[Page 30759]]

sponsored grantee meetings. This includes an initial meeting in 
Washington, D.C. with the Federal Project Officer and other NCCAN 
management representative(s) within 30 days of the award.
     Provide assurance that in situations where the applicant's 
organizational position on a particular child maltreatment-related 
policy or practice differs from the Federal position, the Federal 
position will guide NRCCM activity and will be reflected in all public 
statements and publications of the NRCCM.
     Agree to enter into a Cooperative Agreement which will 
require NCCAN review and approval of work plans, including activities 
involving Headquarters and Regional Office staff, topics to be covered 
in training (training curricula, trainers manual, hand-outs), issues 
for technical assistance, topics for consultation, location and 
frequency of training and technical assistance activities, modes of 
training and technical assistance, any subcontracts and their work 
plans and budgets, and other materials prior to finalization by the 
grantee.
     Agree to work out the terms of the Cooperative Agreement 
and the respective responsibilities of the Federal staff and the 
project staff prior to the actual award.
    Project Duration: The length of the project must not exceed 60 
months.
    Federal Share of the Project Costs: The maximum Federal share of 
the project is not to exceed $700,000 for the first 12 months. Funding 
for subsequent years of the project may exceed the amount specified 
above for the first budget period based on a comprehensive needs 
assessment submitted by the grantee and the availability of funds.
    Matching Requirement: Grantees must provide a non-Federal share or 
match of at least 25 percent of the Federal funds awarded. The non-
Federal share may be met by cash or in-kind contributions, although 
applicants are encouraged to meet their match requirements through cash 
contributions. Therefore, a one-year project requesting $700,000 in 
Federal funds must include a match of at least $175,000.
    Anticipated Number of Projects: It is anticipated that a minimum of 
one but no more than two projects will be funded.

Part III--Instructions for the Development and Submission of 
Applications

    This part contains information and instructions for submitting 
applications in response to this announcement. Application forms are 
provided along with a checklist for assembling an application package. 
Please copy and use these forms in submitting an application.
    Potential applicants should read this section carefully in 
conjunction with the information in the specific priority area under 
which the application is to be submitted. The priority area 
descriptions are in Part II.

A. Paperwork Reduction Act of 1995

    Under the Paperwork Reduction Act of 1995 (Pub. L. 104-13), the 
Department is required to submit to OMB for review and approval any 
reporting and record keeping requirements or program announcements. 
This program announcement meets all information collection requirements 
approved for ACF grant applications under OMB Control Number 0970-0139.

B. Availability of Forms

    Eligible applicants interested in applying for funds must submit a 
complete application including the required forms at the end of this 
program announcement in Appendix B. In order to be considered for a 
grant under this announcement, an application must be submitted on the 
Standard Form 424 (approved by the Office of Management and Budget 
under Control Number 0348-0043). A copy has been provided. Each 
application must be signed by an individual authorized to act for the 
applicant and to assume responsibility for the obligations imposed by 
the terms and conditions of the grant award. Applicants requesting 
financial assistance for non-construction projects must file the 
Standard Form 424B, ``Assurances: Non-Construction Programs'' (approved 
by the Office of Management and Budget under control number 0348-0040). 
Applicants must sign and return the Standard Form 424B (approved by the 
Office of Management and Budget under Control Number 0348-0340) with 
their application. Applicants must provide a certification regarding 
lobbying (approved by the Office of Management and Budget under Control 
Number 0348-0046). Prior to receiving an award in excess of $100,000, 
applicants shall furnish an executed copy of the lobbying certification 
(approved by the Office of Management and Budget under control number 
0348-0046). Applicants must sign and return the certification with 
their application.
    Applicants must make the appropriate certification of their 
compliance with the Drug-free Workplace Act of 1988. By signing and 
submitting the application, applicants are providing the certification 
and need not mail back the certification with the application.
    Applicants must make the appropriate certification that they are 
not presently debarred, suspended or otherwise ineligible for an award. 
By signing and submitting the application, applicants are providing the 
certification and need not mail back the certification with the 
application.
    Applicants will be held accountable for the smoking prohibition in 
Pub. L. 103-227, Part C Environmental Tobacco Smoke (also known as the 
Pro-Children's Act of 1994). A copy of the Federal Register notice 
which implements the smoking prohibition is included with the forms. By 
signing and submitting the application, applicants are providing the 
certification and need not mail back the certification with the 
application.
    All applicants for research projects must provide a Protection of 
Human Subjects Assurance as specified in the policy described on the 
HHS Form 596 (approved by the Office of Management and Budget under 
control number 0925-0137) in Appendix B. If there is a question 
regarding the applicability of this assurance, contact the Office of 
Protection from Research Risks of the National Institutes of Health at 
(301)-496-7041. Those applying for or currently conducting research 
projects are further advised of the availability of a Certificate of 
Confidentiality through the National Institute of Mental Health of the 
Department of Health and Human Services. To obtain more information and 
to apply for a Certificate of Confidentiality, contact the Division of 
Extramural Activities of the National Institute of Mental Health at 
(301) 443-4673.

C. Required Notification of the State Single Point of Contact

    The discretionary funds awarded by NCCAN are covered under 
Executive Order 12372, Intergovernmental Review of Federal Programs, 
and 45 CFR Part 100, Intergovernmental Review of Department of Health 
and Human Services Program and Activities. Under the Order, States may 
design their own processes for reviewing and commenting on proposed 
Federal assistance under covered programs.
    As of February, 1996, the following jurisdictions have elected not 
to participate in the Executive Order process: Alaska, Colorado, 
Connecticut, Hawaii, Idaho, Kansas, Louisiana, Massachusetts, 
Minnesota, Montana, Nebraska, Oklahoma, Oregon, Pennsylvania, South 
Dakota, Tennessee,

[[Page 30760]]

Virginia, Washington, American Samoa, Palau. Applicants from these 
jurisdictions or for projects administered by Federally recognized 
Indian Tribes need take no action in regard to E.O. 12372.
    All remaining jurisdictions participate in the Executive Order 
process and have established Single Points of Contact (SPOCs). 
Applicants from participating jurisdictions should contact their SPOCs 
as soon as possible to alert them of the prospective applications and 
receive instructions. Applicants must submit any required material to 
the SPOCs as soon as possible so that the program office can obtain and 
review SPOC comments as part of the award process. The applicant must 
submit all required materials, if any, to the SPOC and indicate the 
date of this submittal (or the date of contact if no submittal is 
required) on the Standard Form 424, item 16a.
    Under 45 CFR 100.8(a)(2), a SPOC has 60 days from the application 
deadline to comment on proposed new or competing continuation awards.
    SPOCs are encouraged not to submit routine endorsements as official 
recommendations. Additionally, SPOCs are requested to differentiate 
clearly between advisory comments and official State process 
recommendations which may trigger the ``accommodate or explain'' rule.
    Comments submitted directly to ACF should be addressed to: 
Department of Health and Human Services, Administration for Children 
and Families, Division of Discretionary Grants, 370 L'Enfant Promenade 
SW., Mail Stop 6C-462, Washington, DC 20447.
    A list of the Single Points of Contact for each State and Territory 
is included as Appendix A of this announcement.

D. Deadline for Submission of Applications

    The closing time and date for receipt of applications is 4:30 p.m. 
(Eastern time) on August 16, 1996. Applications received after 4:30 
p.m. will be classified as late.
    Deadline: Mailed applications shall be considered as meeting an 
announced deadline if they are received on or before the deadline time 
and date at the U.S. Department of Health and Human Services, 
Administration for Children and Families, Division of Discretionary 
Grants, 370 L'Enfant Promenade S.W., Mail Stop 6C-462, Washington, DC 
20447, Attention: __________ (Reference Announcement Number and specify 
Priority Area 1.01, 2.01, or 2.02.) Applicants are responsible for 
mailing applications well in advance, when using the mail services, to 
ensure that the applications are received on or before the deadline 
time and date.
    Applications hand-carried by applicants, applicant couriers, or by 
overnight/express mail couriers shall be considered as meeting an 
announced deadline if they are received on or before the deadline date, 
between the hours of 8:00 a.m. and 4:30 p.m. (Eastern time) at the U.S. 
Department of Health and Human Services, Administration for Children 
and Families, Division of Discretionary Grants, ACF Mailroom, 2nd Floor 
Loading Dock, Aerospace Center, 901 D Street, SW, Washington, DC 20024 
between Monday and Friday (excluding Federal Holidays). Applicants are 
cautioned that express/overnight mail services do not always deliver as 
agreed.
    ACF cannot accommodate transmission of applications by fax. 
Therefore, applications faxed to ACF will not be accepted regardless of 
date or time of submission and time of receipt.
    Late Applications: Applications which do not meet the criteria 
stated above are considered late applications. Each late applicant will 
be notified that its application will not be considered in the current 
competition.
    Extension of Deadlines: The deadline may be extended for all 
applicants because of acts of God such as floods, hurricanes, etc., or 
when there is a widespread disruption of the mail. However, if the 
granting agency does not extend the deadline for all applicants, it may 
not waive or extend the deadline for any applicants.

E. Instructions for Preparing the Application and Completing 
Application Forms

    The SF 424, 424A (approved by the Office of Management and Budget 
under Control Number 0348-0044), 424B, and certifications have been 
reprinted for your convenience in preparing the application. You should 
reproduce single-sided copies of these forms from the reprinted forms 
in the announcement, typing your information onto the copies. Please do 
not use forms directly from the Federal Register announcement, as they 
are printed on both sides of the page.
    Please prepare your application in accordance with the following 
instructions:
    1. SF 424 Page 1, Application Cover Sheet. Please read the 
following instructions before completing the application cover sheet. 
An explanation of each item is included. Complete only the items 
specified.
    Top of Page. Enter the single priority area number under which the 
application is being submitted under only one priority area.
    Item 1. Type of submission--Preprinted on the form.
    Item 2. Date Submitted and Applicant Identifier--Date application 
is submitted to ACYF and applicant's own internal control number, if 
applicable.
    Item 3. Date Received By State--State use only (if applicable).
    Item 4. Date Received by Federal Agency--Leave blank.
    Item 5. Applicant Information Legal Name--Enter the legal name of 
the applicant organization. For applications developed jointly, enter 
the name of the lead organization only. There must be a single 
applicant for each application.
    Organizational Unit--Enter the name of the primary unit within the 
applicant organization which will actually carry out the project 
activity. Do not use the name of an individual as the applicant. If 
this is the same as the applicant organization, leave the 
organizational unit blank.
    Address--Enter the complete address that the organization actually 
uses to receive mail, since this is the address to which all 
correspondence will be sent. Do not include both street address and 
P.O. box number unless both must be used in mailing.
    Name and telephone number of the person to be contacted on matters 
involving this application (include area code)--Enter the full name 
(including academic degree, if applicable) and telephone number of a 
person who can respond to questions about the application. This person 
should be accessible at the address given here and will receive all 
correspondence regarding the application.
    Item 6. Employer Identification Number (EIN)--Enter the employer 
identification number of the applicant organization, as assigned by the 
Internal Revenue Service, including, if known, the Central Registry 
System suffix.
    Item 7. Type of Applicant--Self-explanatory.
    Item 8. Type of Application--Preprinted on the form.
    Item 9. Name of Federal Agency--Preprinted on the form.
    Item 10. Catalog of Federal Domestic Assistance Number and Title--
Enter the Catalog of Federal Domestic Assistance (CFDA) number assigned 
to the program under which assistance is requested and its title, as 
indicated in the relevant priority area description.
    Item 11. Descriptive Title of Applicant's Project--Enter the 
project title. The title is generally short and is

[[Page 30761]]

descriptive of the project, not the priority area title.
    Item 12. Areas Affected by Project--Enter the governmental unit 
where significant and meaningful impact could be observed. List only 
the largest unit or units affected, such as State, county, or city. If 
an entire unit is affected, list it rather than subunits.
    Item 13. Proposed Project--Enter the desired start date for the 
project and projected completion date.
    Item 14. Congressional District of Applicant/Project--Enter the 
number of the Congressional District where the applicant's principal 
office is located and the number of the Congressional district(s) where 
the project will be located. If statewide, a multi-State effort, or 
nationwide, enter 00.
    Items 15. Estimated Funding Levels. In completing 15a through 15f, 
the dollar amounts entered should reflect, for a 12-month budget 
period, the total amount requested. If the proposed project period 
exceeds 17 months, enter only those dollar amounts needed for the first 
12 months of the proposed project.
    Item 15a. Enter the amount of Federal funds requested in accordance 
with the preceding paragraph. This amount should be no greater than the 
maximum amount specified in the priority area description.
    Items 15b-e. Enter the amount(s) of funds from non-Federal sources 
that will be contributed to the proposed project. Items b-e are 
considered cost-sharing or matching funds. The value of third party in-
kind contributions should be included on appropriate lines as 
applicable.
    Item 15f. Enter the estimated amount of income, if any, expected to 
be generated from the proposed project. Do not add or subtract this 
amount from the total project amount entered under item 15g. Describe 
the nature, source and anticipated use of this income in the Project 
Narrative Statement.
    Item 15g. Enter the sum of items 15a-15e.
    Item 16a. Is Application Subject to Review By State Executive Order 
12372 Process? Yes, except for the 18 jurisdictions listed above.--
Enter the date the applicant contacted the SPOC regarding this 
application. Select the appropriate SPOC from the listing provided at 
the end of Part III. The review of the application is at the discretion 
of the SPOC. The SPOC will verify the date noted on the application. If 
there is a discrepancy in dates, the SPOC may request that the Federal 
agency delay any proposed funding until September 1994.
    Item 16b. Is Application Subject to Review By State Executive Order 
12372 process? No.--Check the appropriate box if the application is not 
covered by E.O. 12372 or if the program has not been selected by the 
State for review.
    Item 17. Is the Applicant Delinquent on any Federal Debt?-- Check 
the appropriate box. This question applies to the applicant 
organization, not the person who signs as the authorized 
representative. Categories of debt include audit disallowances, loans 
and taxes.
    Item 18. To the best of my knowledge and belief, all data in this 
application/preapplication are true and correct. The document has been 
duly authorized by the governing body of the applicant and the 
applicant will comply with the attached assurances if the assistance is 
awarded.--To be signed by the authorized representative of the 
applicant. A copy of the governing body's authorization for signature 
of this application by this individual as the official representative 
must be on file in the applicant's office, and may be requested from 
the applicant.
    Item 18a-c. Typed Name of Authorized Representative, Title, 
Telephone Number--Enter the name, title and telephone number of the 
authorized representative of the applicant organization.
    Item 18d. Signature of Authorized Representative--Signature of the 
authorized representative named in Item 18a. At least one copy of the 
application must have an original signature. Use colored ink (not 
black) so that the original signature is easily identified.
    Item 18e. Date Signed--Enter the date the application was signed by 
the authorized representative.
    2. SF 424A--Budget Information--Non-Construction Programs. This is 
a form used by many Federal agencies. For this application, Sections A, 
B, C, E and F are to be completed. Section D does not need to be 
completed.
    Sections A and B should include the Federal as well as the non-
Federal funding for the proposed project covering the first year budget 
period.
    Section A--Budget Summary. This section includes a summary of the 
budget. On line 5, enter total Federal costs in column (e) and total 
non-Federal costs, including third party in-kind contributions, but not 
program income, in column (f). Enter the total of (e) and (f) in column 
(g).
    Section B--Budget Categories. This budget, which includes the 
Federal as well as non-Federal funding for the proposed project, covers 
the first year budget period if the proposed project period exceeds 12 
months. It should relate to item 15g, total funding, on the SF 424. 
Under column (5), enter the total requirements for funds (Federal 
dollars in one column and non-Federal in the other) by object class 
category.
    A separate, itemized, budget justification for each line item is 
required. The types of information to be included in the justification 
are indicated under each category. For multiple-year projects, it is 
desirable to provide this information for each year of the project.
    Personnel--Line 6a. Enter the total costs of salaries and wages of 
applicant/grantee staff. Do not include the costs of consultants, which 
should be included on line 6h, Other.
    Justification: Identify the principal investigator or project 
director, if known. Specify by title or name the percentage of time 
allocated to the project, the individual annual salaries, and the cost 
to the project (both Federal and non-Federal) of the organization's 
staff who will be working on the project.
    Fringe Benefits--Line 6b. Enter the total cost of fringe benefits, 
unless treated as part of an approved indirect cost rate.
    Justification: Provide a break-down of amounts and percentages that 
comprise fringe benefit costs, such as health insurance, FICA, 
retirement insurance, etc.
    Travel--6c. Enter total costs of out-of-town travel (travel 
requiring per diem) for staff of the project. Do not enter costs for 
consultant's travel or local transportation, which should be included 
on Line 6h, Other.
    Justification: Include the name(s) of traveler(s), total number of 
trips, destinations, length of stay, transportation costs and 
subsistence allowances.
    Equipment--Line 6d. Enter the total costs of all equipment to be 
acquired by the project. Equipment is defined as non-expendable 
tangible personal property having a useful life of more than one year 
and a acquisition cost of $5,000 or more per unit.
    Justification: Equipment to be purchased with Federal funds must be 
justified. The equipment must be required to conduct the project, and 
the applicant organization or its subgrantees must not have the 
equipment or a reasonable facsimile available to the project. The 
justification also must contain plans for future use or disposal of the 
equipment after the project ends.
    Supplies--Line 6e. Enter the total costs of all tangible expendable 
personal property (supplies) other than those included on Line 6d.
    Justification: Specify general categories of supplies and their 
costs.

[[Page 30762]]

    Contractual--Line 6f. Enter the total costs of all contracts, 
including (1) procurement contracts (except those which belong on other 
lines such as equipment, supplies, etc.) and (2) contracts with 
secondary recipient organizations, including delegate agencies. Also 
include any contracts with organizations for the provision of technical 
assistance. Do not include payments to individuals on this line. If the 
name of the contractor, scope of work, and estimated total costs are 
not available or have not been negotiated, include on Line 6h, other.
    Justification: Attach a list of contractors, indicating the names 
of the organizations, the purposes of the contracts, and the estimated 
dollar amounts of the awards as part of the budget justification. 
Whenever the applicant/grantee intends to delegate part or all of the 
program to another agency, the applicant/grantee must complete this 
section (Section B, Budget Categories) for each delegate agency by 
agency title, along with the supporting information. The total cost of 
all such agencies will be part of the amount shown on Line 6f. Provide 
back-up documentation identifying the name of contractor, purpose of 
contract, and major cost elements. Applicants who anticipate 
procurement that will exceed $5,000 (non-governmental entities) or 
$25,000 (governmental entities) and are requesting an award without 
competition should include a sole-source justification in the proposal 
which at a minimum should include the basis for contractor's selection, 
justification for lack of competition when competitive bids or offers 
are not obtained and basis for award cost or price. (Note: Previous or 
past experience with a contractor is not sufficient justification for 
sole source.)
    Construction--Line 6g. Not applicable. New construction is not 
allowable.
    Other--Line 6h. Enter the total of all other costs. Where 
applicable, such costs may include, but are not limited to: insurance, 
medical and dental costs, noncontractual fees and travel paid directly 
to individual consultants, local transportation (all travel which does 
not require per diem is considered local travel), space and equipment 
rentals, printing and publication, computer use, training costs, 
including tuition and stipends, training service costs, including wage 
payments to individuals and supportive service payments, and staff 
development costs. Note that costs identified as miscellaneous and 
honoraria are not allowable.
    Justification: Specify the costs included.
    Total Direct Charge--Line 6i. Enter the total of Lines 6a through 
6h.
    Indirect Charges--6j. Enter the total amount of indirect charges 
(costs). If no indirect costs are requested, enter none. Generally, 
this line should be used when the applicant has a current indirect cost 
rate agreement approved by the Department of Health and Human Services 
or another Federal agency.
    Local and State governments should enter the amount of indirect 
costs determined in accordance with DHHS requirements. When an indirect 
cost rate is requested, these costs are included in the indirect cost 
pool and should not be charged again as direct costs to the grant.
    Justification: Enclose a copy of the indirect cost rate agreement.
    Total--Line 6k. Enter the total amounts of lines 6i and 6j.
    Program Income--Line 7. Enter the estimated amount, if any, 
expected to be generated from this project. Do not add or subtract this 
amount from the total project amount.
    Justification: Describe the nature, source, and anticipated use of 
program income in the Program Narrative Statement.
    Section C--Non-Federal Resources. This section summarizes the 
amounts of non-Federal resources that will be applied to the grant. 
Enter this information on line 12 entitled Totals. In-kind 
contributions are defined in 45 CFR, Part 74.51 and 45 CFR Part 92.3, 
as property or services which benefit a grant-supported project or 
program and which are contributed by non-Federal third parties without 
charge to the grantee, the subgrantee, or a cost-type contractor under 
the grant or subgrant.
    Justification: Describe third party in-kind contributions, if 
included.
    Section D--Forecasted Cash Needs, Not applicable.
    Section E--Budget Estimate of Federal Funds Needed For Balance of 
the Project. This section should only be completed if the total project 
period exceeds 12 months.
    Totals--Line 20. For projects that will have more than one budget 
period, enter the estimated required Federal funds for the second 
budget period (months 13 through 24) under column (b) First. If a third 
budget period will be necessary, enter the Federal funds needed for 
months 25 through 36 under (c) Second. Columns (d) and (e) would be 
used in the case of a 60 month project.
    Section F--Other Budget Information.
    Direct Charges--Line 21, Not applicable.
    Indirect Charges--Line 22, Enter the type of indirect rate 
(provisional, predetermined, final or fixed) that will be in effect 
during the funding period, the estimated amount of the base to which 
the rate is applied, and the total indirect expense.
    Remarks--Line 23. If the total project period exceeds 12 months, 
you must enter your proposed non-Federal share of the project budget 
for each of the remaining years of the project.
    3. Project Summary Description. Clearly mark this separate page 
with the applicant name as shown in item 5 of the SF 424, the priority 
area number as shown at the top of the SF 424, and the title of the 
project as shown in item 11 of the SF 424. The summary description 
should not exceed 300 words. These 300 words become part of the 
computer database on each project.
    Care should be taken to produce a summary description which 
accurately and concisely reflects the application. It should describe 
the objectives of the project, the approaches to be used and the 
outcomes expected. The description should also include a list of major 
products that will result from the proposed project, such as software 
packages, materials, management procedures, data collection 
instruments, training packages, or videos. (Please note that 
audiovisuals should be closed captioned.) The project summary 
description, together with the information on the SF 424, will 
constitute the project abstract. It is the major source of information 
about the proposed project and is usually the first part of the 
application that the reviewers read in evaluating the application.
    At the bottom of the page, following the summary description, type 
up to 10 key words which best describe the proposed project, the 
service(s) involved and the target population(s) to be covered. These 
key words will be used for computerized information retrieval for 
specific types of funded projects.
    4. Program Narrative Statement. The Program Narrative Statement is 
a very important part of an application. It should be clear, concise, 
and address the specific requirements mentioned under the priority area 
description in Part II.
    The narrative should provide information concerning how the 
application meets the evaluation criteria using the following headings 
for Research applications:

(a) Objectives
(b) Background and Significance
(c) Methodology
(d) Staff Background and Organizational Experience

    All demonstration applications should use the following headings:


[[Page 30763]]


(a) Objective and Need for Assistance
(b) Approach
(c) Results or Benefits Expected
(d) Staff Background and Organization Experience

    The narrative should be typed double-spaced on a single-side of an 
8\1/2\''  x  11'' plain white paper, with 1" margins on all sides, 
using standard type sizes or fonts (e.g., Times Roman 12 or Courier 
10). Applicants should not submit reproductions of larger size paper 
reduced to meet the size requirement. Applicants are requested not to 
send pamphlets, brochures, or other printed material along with their 
application as they pose copying difficulties. All pages of the 
narrative (including charts, references/footnotes, tables, maps, 
exhibits, etc.) must be sequentially numbered, beginning with 
``Objectives'' or ``Objectives and Need for Assistance'' as page number 
one.
    The length of the application, including the application forms and 
all attachments, should not exceed 60 pages, except for applications 
for priority area 1.01 which has different page limits as described in 
that section of the announcement. Anything over the limit will not be 
reproduced and distributed to reviewers. Applicants should understand 
that, except for priority area 1.01, only the first 60 pages of 
material will be reviewed. A page is a single side of an 8\1/2\  x  
11'' sheet of paper. Applicants are requested not to send pamphlets, 
brochures or other printed material along with their application as 
these pose xeroxing difficulties. These materials, if submitted, will 
not be included in the review process if they exceed the page limit 
criteria. Each page of the application will be counted to determine the 
total length.
    5. Organizational Capability Statement. The Organizational 
Capability Statement should consist of a brief (two pages is suggested) 
background description of how the applicant organization (or the unit 
within the organization that will have responsibility for the project) 
is organized, the types and quantity of services it provides, and/or 
the research and management capabilities it possesses. This description 
should cover capabilities not included in the Program Narrative 
Statement. It may include descriptions of any current or previous 
relevant experience, or describe the competence of the project team and 
its demonstrated ability to produce a final product that is readily 
comprehensible and usable. An organization chart showing the 
relationship of the project to the current organization must be 
included.
    6. Part IV--Assurances/Certifications. Applicants are required to 
file an SF 424B, Assurances--Non-Construction Programs and the 
Certification Regarding Lobbying. Both must be signed and returned with 
the application. In addition, applicants must certify their compliance 
with: (1) Drug-free Workplace Requirements; and (2) Debarment and Other 
Responsibilities. Copies of the assurances/certifications are reprinted 
at the end of this announcement and should be reproduced, as necessary. 
A duly authorized representative of the applicant organization must 
certify that the applicant is in compliance with these assurances/
certifications. A signature on the SF 424 indicates compliance with the 
Drug-free Workplace Requirements, and Debarment and Other 
Responsibilities certifications.
    A signature on the application constitutes an assurance that the 
applicant will comply with the pertinent Departmental regulations 
contained in 45 CFR Part 74.

F. Checklist for a Complete Application

    The checklist below is for your use to ensure that your application 
package has been properly prepared.

--One original, signed and dated application, plus two copies. 
Applications for different priority areas are packaged separately;
--Application is from an organization which is eligible under the 
eligibility requirements defined in the priority area description 
(screening requirement);
--Application length does not exceed 60 pages, unless otherwise 
specified in the priority area description. A complete application 
consists of the following items in this order:
--Application for Federal Assistance (SF 424, REV 4-88);
--A completed SPOC certification with the date of SPOC contact entered 
in line 16, page 1 of the SF 424;
--Budget Information-Non-Construction Programs (SF 424A, REV 4-88);
--Budget justification for Section B--Budget Categories;
--Table of Contents;
--Letter from the Internal Revenue Service to prove non-profit status, 
if necessary;
--Copy of the applicant's approved indirect cost rate agreement, if 
appropriate;
--Project summary description and listing of key words;
--Program Narrative Statement (See Part III, Section D);
--Organizational capability statement, including an organization chart;
--Any appendices/attachments;
--Assurances-Non-Construction Programs (Standard Form 424B, REV 4-88);
--Certification Regarding Lobbying; and
--Certification of Protection of Human Subjects, if necessary.

G. The Application Package

    Each application package must include an original and two copies of 
the complete application. Each copy should be stapled securely (front 
and back if necessary) in the upper left-hand corner. All pages of the 
narrative (including charts, tables, maps, exhibits, etc.) must be 
sequentially numbered, beginning with page one. In order to facilitate 
handling, please do not use covers, binders or tabs. Do not include 
extraneous materials as attachments, such as agency promotion 
brochures, slides, tapes, film clips, minutes of meetings, survey 
instruments or articles of incorporation.
    Do not include a self-addressed, stamped acknowledgement card. All 
applicants will be notified automatically about the receipt of their 
application. If acknowledgement of receipt of your application is not 
received within eight weeks after the deadline date, please notify the 
ACYF Operations Center by telephone at 1-800-351-2293.

    Dated: June 7, 1996.
Olivia A. Golden,
Commissioner, Administration on Children, Youth and Families.

Appendix A--OMB State Single Point of Contact Listing

Arizona

Joni Saad, Arizona State Clearinghouse, 3800 N. Central Avenue, 
Fourteenth Floor, Phoenix, Arizona 85012, Telephone (602) 280-1315, 
FAX: (602) 280-1305

Arkansas

Mr. Tracy L. Copeland, Manager, State Clearinghouse, Office of 
Intergovernmental Services, Department of Finance and 
Administration, 1515 W. 7th St., Room 412, Little Rock, Arkansas 
72203, Telephone: (501) 682-1074, FAX: (501) 682-5206

Alabama

Jon C. Strickland, Alabama Department of Economic and Community 
Affairs, Planning and Economic Development Division, 401 Adams 
Avenue, Montgomery, Alabama 36103-5690, Telephone: (205) 242-5483, 
FAX: (205) 242-5515

California

Grants Coordinator, Office of Planning & Research, 1400 Tenth 
Street, Room 121, Sacramento, California 95814, Telephone (916) 323-
7480, FAX: (916) 323-3018

[[Page 30764]]

Delaware

Francine Booth, State Single Point of Contact Executive Department, 
Thomas Collins Building, P.O. Box 1401, Dover, Delaware 19903, 
Telephone: (302) 739-3326, FAX: (302) 739-5661

District of Columbia

Charles Nichols, State Single Point of Contact, Office of Grants 
Mgmt. & Dev., 717 14th Street, N.W.--Suite 500, Washington, D.C. 
20005, Telephone: (202) 727-6554, FAX: (202) 727-1617

Florida

Florida State Clearinghouse, Department of Community Affairs, 2740 
Centerview Drive, Tallahassee, Florida 32399-2100, Telephone: (904) 
922-5438, FAX: (904) 487-2899

Georgia

Tom L. Reid III, Administrator, Georgia State Clearinghouse, 254 
Washington Street, S.W.--Room 401J, Atlanta, Georgia 30334, 
Telephone: (404) 656-3855 or (404) 656-3829, FAX: (404) 656-7938

Illinois

Barbara Beard, State Single Point of Contact, Department of Commerce 
and Community Affairs, 620 East Adams, Springfield, Illinois 62701, 
Telephone: (217) 782-1671, FAX: (217) 534-1627

Indiana

Amy Brewer, State Budget Agency, 212 State House, Indianapolis, 
Indiana 46204, Telephone: (317) 232-5619, FAX: (317) 233-3323

Iowa

Steven R. McCann, Division for Community Assistance, Iowa Department 
of Economic Development, 200 East Grand Avenue, Des Moines, Iowa 
50309, Telephone: (515) 242-4719, FAX: (515) 242-4859

Kentucky

Ronald W. Cook, Office of the Governor, Department of Local 
Government, 1024 Capitol Center Drive, Frankfort, Kentucky 40601-
8204, Telephone: (502) 573-2382, FAX: (502) 573-2512

Maine

Joyce Benson, State Planning Office, State House Station #38, 
Augusta, Maine 04333, Telephone: (207) 287-3261, FAX: (207) 287-6489

Maryland

William G. Carroll, Manager, State Clearinghouse for 
Intergovernmental Assistance, Maryland Office of Planning, 301 W. 
Preston Street--Room 1104, Baltimore, Maryland 21201-2365, Staff 
Contact: Linda Janey, Telephone: (410) 225-4490, FAX: (410) 225-4480

Michigan

Richard Pfaff, Southeast Michigan Council of Governments, 1900 
Edison Plaza, 660 Plaza Drive, Detroit, Michigan 48226, Telephone: 
(313) 961-4266

Mississippi

Cathy Malette, Clearinghouse Officer, Department of Finance and 
Administration, 455 North Lamar Street, Jackson, Mississippi 39202-
3087, Telephone: (601) 359-6762, FAX: (601) 359-6764

Missouri

Lois Pohl, Federal Assistance Clearinghouse, Office of 
Administration, P.O. Box 809, Room 760, Truman Building, Jefferson 
City, Missouri 65102, Telephone: (314) 751-4834, FAX: (314) 751-7819

Nevada

Department of Administration, State Clearinghouse, Capitol Complex, 
Carson City, Nevada 89710, Telephone: (702) 687-4065, FAX: (702) 
687-3983

New Hampshire

Jeffrey H. Taylor, Director, New Hampshire Office of State Planning, 
Attn: Intergovernmental Review Process, Mike Blake, 2\1/2\ Beacon 
Street, Concord, New Hampshire 03301, Telephone: (603) 271-2155, 
FAX: (603) 271-1728

New Jersey

Gregory W. Adkins, Assistant Commissioner, New Jersey Department of 
Community Affairs

    Please direct all correspondence and questions about 
intergovernmental review to:

Andrew J. Jaskolka, State Review Process, Intergovernmental Review 
Unit CN 800, Room 813A, Trenton, New Jersey 08625-0800, Telephone: 
(609) 292-9025, FAX: (609) 633-2132

New Mexico

Robert Peters, State Budget Division, Room 190, Bataan Memorial 
Building, Santa Fe, New Mexico 87503, Telephone: (505) 827-3640

New York

New York State Clearinghouse, Division of the Budget, State Capitol, 
Albany, New York 12224, Telephone: (518) 474-1605

North Carolina

Chrys Baggett, Director, N.C. State Clearinghouse, Office of the 
Secretary of Admin., 116 West Jones Street, Raleigh, North Carolina 
27603-8003, Telephone: (919) 733-7232, FAX: (919) 733-9571

North Dakota

North Dakota Single Point of Contact, Office of Intergovernmental 
Assistance, 600 East Boulevard Avenue, Bismarck, North Dakota 58505-
0170, Telephone: (701) 224-2094, FAX: (701) 224-2308

Ohio

Larry Weaver, State Single Point of Contact, State Clearinghouse, 
Office of Budget and Management, 30 East Broad Street, 34th Floor, 
Columbus, Ohio 43266-0411

    Please direct correspondence and questions about 
intergovernmental review to: Linda Wise, Telephone: (614) 466-0698, 
FAX: (614) 466-5400

Rhode Island

Daniel W. Varin, Associate Director, Department of Administration/
Division of Planning, One Capitol Hill, 4th Floor, Providence, Rhode 
Island 02908-5870, Telephone: (401) 277-2656, FAX: (401) 277-2083

    Please direct correspondence and questions to: Review 
Coordinator, Office of Strategic Planning

South Carolina

Omeagia Burgess, State Single Point of Contact, Grant Services, 
Office of the Governor, 1205 Pendleton Street--Room 477, Columbia, 
South Carolina 29201, Telephone: (803) 734-0494, FAX: (803) 734-0385

Texas

Tom Adams, Governor's Office, Director, Intergovernmental 
Coordination, P.O. Box 12428, Austin, Texas 78711, Telephone: (512) 
463-1771, FAX: (512) 463-1880

Utah

Carolyn Wright, Utah State Clearinghouse, Office of Planning and 
Budget, Room 116, Stater Capitol, Salt Lake City, Utah 84114, 
Telephone: (801) 538-1535, FAX: (801) 538-1547

Vermont

Nancy McAvoy, State Single Point of Contact, Pavilion Office 
Building, 109 State Street, Montpelier, Vermont 05609, Telephone: 
(802) 828-3326, FAX: (802) 828-3339

West Virginia

Fred Cutlip, Director, Community Development Division, W. Virginia 
Development Office, Building #6, Room 553, Charleston, West Virginia 
25305, Telephone: (304) 558-4010, FAX: (304) 558-3248

Wisconsin

Martha Kerner, Section Chief, State/Federal Relations, Wisconsin 
Department of Administration, 101 East Wilson Street--6th Floor, 
P.O. Box 7868, Madison, Wisconsin 53707, Telephone: (608) 266-2125, 
FAX: (608) 267-6931

Wyoming

Sheryl Jeffries, State Single Point of Contact, Herschler Building 
4th Floor, East Wing, Cheyenne, Wyoming 82002, Telephone: (307) 777-
7574, FAX: (307) 638-8967

Territories

Guam

Mr. Giovanni T. Sgambelluri, Director, Bureau of Budget and 
Management Research, Office of the Governor, P.O. Box 2950, Agana, 
Guam 96910, Telephone: 011-671-472-2285, FAX: 011-671-472-2825

Puerto Rico

Norma Burgos/Jose E. Caro, Chairwoman/Director, Puerto Rico Planning 
Board, Federal Proposals Review Office, Minillas Government Center, 
P.O. Box 41119, San Juan, Puerto Rico 00940-1119, Telephone: (809) 
727-4444, (809) 723-6190, FAX: (809) 724-3270, (809) 724-3103

North Marianna Islands

State Single Point of Contact, Planning and Budget Office, Office of 
the Governor, Saipan, CM, Northern Marianna Islands 96950

[[Page 30765]]

Virgin Islands

Jose George, Director, Office of Management and Budget, #41 
Norregade Emancipation Garden Station, Second Floor, Saint Thomas, 
Virgin Islands 00802

    Please direct all questions and correspondence about 
intergovernmental review to:

Linda Clarke, Telephone: (809) 774-0750, FAX: (809) 776-0069

BILLING CODE 4184-01-P
      

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BILLING CODE 4184-01-C

[[Page 30767]]

Instructions for the SF 424

    This is a standard form used by applicants as a required 
facesheet for preapplication and applications submitted for Federal 
assistance. It will be used by Federal agencies to obtain applicant 
certification that States which have established a review and 
comment procedure in response to Executive Order 12372 and have 
selected the program to be included in their process, have been 
given an opportunity to review the applicant's submission.

Item and Entry

    1. Self-explanatory.
    2. Date application submitted to Federal agency (or State if 
applicable) & applicant's control number (if applicable).
    3. State use only (if applicable).
    4. If this application is to continue or revise an existing 
award, enter present Federal identifier number. If for a new 
project, leave blank.
    5. Legal name of applicant, name of primary organizational unit 
which will undertake the assistance activity, complete address of 
the applicant, and name and telephone number of the person to 
contact on matters related to this application.
    6. Enter Employer Identification Number (EIN) as assigned by the 
Internal Revenue Service.
    7. Enter the appropriate letter in the space provided.
    8. Check appropriate box and enter appropriate letter(s) in the 
space(s) provided:

--``New'' means a new assistance award.
--``Continuation'' means an extension for an additional funding/
budget period for a project with a projected completion date.
--``Revision'' means any change in the Federal Government's 
financial obligation or contingent liability from an existing 
obligation.

    9. Name of Federal agency from which assistance is being 
requested with this application.
    10. Use the Catalog of Federal Domestic Assistance number and 
title of the program under which assistance is requested.
    11. Enter a brief descriptive title of the project. If more than 
one program is involved, you should append an explanation on a 
separate sheet. If appropriate (e.g., construction or real property 
projects), attach a map showing project location. For 
preapplications, use a separate sheet to provide a summary 
description of this project.
    12. List only the largest political entities affected (e.g., 
State, counties, cities).
    13. Self-explanatory.
    14. List the applicant's Congressional District and any 
District(s) affected by the program or project.
    15. Amount requested or to be contributed during the first 
funding/budget period by each contributor. Value of in-kind 
contributions should be included on appropriate lines as applicable. 
If the action will result in a dollar change to an existing award, 
indicate only the amount of the change. For decreases, enclose the 
amounts in parentheses. If both basic and supplemental amounts are 
included, show breakdown on an attached sheet. For multiple program 
funding, use totals and show breakdown using same categories as item 
15.
    16. Applicants should contact the State Single Point of Contact 
(SPOC) for Federal Executive Order 12372 to determine whether the 
application is subject to the State intergovernmental review 
process.
    17. This question applies to the applicant organization, not the 
person who signs as the authorized representative. Categories of 
debt include delinquent audit disallowances, loans and taxes.
    18. To be signed by the authorized representative of the 
applicant. A copy of the governing body's authorization for you to 
sign this application as official representative must be on file in 
the applicant's office. (Certain Federal agencies may require that 
this authorization be submitted as part of the application.)

BILLING CODE 4184-01-P

[[Page 30768]]

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[[Page 30769]]

[GRAPHIC] [TIFF OMITTED] TN17JN96.018



BILLING CODE 4184-01-C

[[Page 30770]]

Instructions for the SF-424A

General Instructions

    This form is designed so that application can be made for funds 
from one or more grant programs. In preparing the budget, adhere to 
any existing Federal grantor agency guidelines which prescribe how 
and whether budgeted amounts should be separately shown for 
different functions or activities within the program. For some 
programs, grantor agencies may require budgets to be separately 
shown by function or activity. For other programs, grantor agencies 
may require a breakdown by function or activity. Sections A, B, C, 
and D should include budget estimates for the whole project except 
when applying for assistance which requires Federal authorization in 
annual or other funding period increments. In the latter case, 
Sections A, B, C, and D should provide the budget for the first 
budget period (usually a year) and Section E should present the need 
for Federal assistance in the subsequent budget periods. All 
applications should contain a breakdown by the object class 
categories shown in Lines a-k of Section B.

Section A. Budget Summary

Lines 1-4, Columns (a) and (b)

    For applications pertaining to a single Federal grant program 
(Federal Domestic Assistance Catalog number) and not requiring a 
functional or activity breakdown, enter on Line 1 under Column (a) 
the catalog program title and the catalog number in Column (b).
    For applications pertaining to a single program requiring budget 
amounts by multiple functions or activities, enter the name of each 
activity or function on each line in Column (a), and enter the 
catalog number in Column (b). For applications pertaining to 
multiple programs where none of the programs require a breakdown by 
function or activity, enter the catalog program title on each line 
in Column (a) and the respective catalog number on each line in 
Column (b).
    For applications pertaining to multiple programs where one or 
more programs require a breakdown by function or activity, prepare a 
separate sheet for each program requiring the breakdown. Additional 
sheets should be used when one form does not provide adequate space 
for all breakdown of data required. However, when more than one 
sheet is used, the first page should provide the summary totals by 
programs.

Lines 1-4, Columns (c) Through (g.)

    For new applications, leave Columns (c) and (d) blank. For each 
line entry in Columns (a) and (b), enter in Columns (e), (f), and 
(g) the appropriate amounts of funds needed to support the project 
for the first funding period (usually a year).
    For continuing grant program applications, submit these forms 
before the end of each funding period as required by the grantor 
agency. Enter in Columns (c) and (d) the estimated amounts of funds 
which will remain unobligated at the end of the grant funding period 
only if the Federal grantor agency instructions provide for this. 
Otherwise, leave these columns blank. Enter in columns (e) and (f) 
the amounts of funds needed for the upcoming period. The amount(s) 
in Column (g) should be the sum of amounts in Columns (e) and (f).
    For supplemental grants and changes to existing grants, do not 
use Columns (c) and (d). Enter in Column (e) the amount of the 
increase or decrease of Federal funds and enter in Column (f) the 
amount of the increase or decrease of non-Federal funds. In Column 
(g) enter the new total budgeted amount (Federal and non-Federal) 
which includes the total previous authorized budgeted amounts plus 
or minus, as appropriate, the amounts shown in Columns (e) and (f). 
The amount(s) in Column (g) should not equal the sum of amounts in 
Columns (e) and (f).
    Line 5--Show the totals for all columns used.

Section B. Budget Categories

    In the column headings (1) through (4), enter the titles of the 
same programs, functions, and activities shown on Lines 1-4, Column 
(a), Section A. When additional sheets are prepared for Section A, 
provide similar column headings on each sheet. For each program, 
function or activity, fill in the total requirements for funds (both 
Federal and non-Federal) by object class categories.
    Lines 6a-i--Show the totals of Lines 6a to 6h in each column
    Line 6i--Show the amount of indirect cost.
    Line 6k--Enter the total of amounts on Lines 6i and 6j. For all 
applications for new grants and continuation grants for total amount 
in column (5), Line 6k, should be the same as the total amount shown 
in Section A, Column (g), Line 5. For supplemental grants and 
changes to grants, the total amount of the increase or decrease as 
shown in Columns (1)-(4), Line 6k should be the same as the sum of 
the amounts in Section A, Columns (e) and (f) on Line 5.
    Line 7--Enter the estimated amount of income, if any, expected 
to be generated from this project. Do not add or subtract this 
amount from the total project amount. Show under the program 
narrative statement the nature and source of income. The estimated 
amount of program income may be considered by the federal grantor 
agency in determining the total amount of the grant.

Section C. Non-Federal-Resources

    Lines 8-11--Enter amounts of non-Federal resources that will be 
used on the grant. If in-kind contributions are included, provide a 
brief explanation on a separate sheet.
    Column (a)--Enter the program titles identical to Column (a), 
Section A. A breakdown by function or activity is not necessary.
    Column (b)--Enter the contribution to be made by the applicant.
    Column (c)--Enter the amount of the State's cash and in-kind 
contribution if the applicant is not a State or State agency. 
Applicants which are a State or State agencies should leave this 
column blank.
    Column (d)--Enter the amount of cash and in-kind contributions 
to be made from all other sources.
    Column (e)--Enter totals of Columns (b), (c), and (d).
    Line 12--Enter the total for each of Columns (b)-(e). The amount 
in Column (e) should be equal to the amount on Line 5, Column (f), 
Section A.

Section D. Forecasted Cash Needs

    Line 13--Enter the amount of cash needed by quarter from the 
grantor agency during the first year.
    Line 14--Enter the amount of cash from all other sources needed 
by quarter during the first year.
    Line 15--Enter the totals of amounts on Lines 13 and 14.

Section E. Budget Estimates of Federal Funds Needed for Balance of 
the Project

    Lines 16-19--Enter in Column (a) the same grant program titles 
shown in Column (a), Section A. A breakdown by function or activity 
is not necessary. For new applications and continuation grant 
applications, enter in the proper columns amounts of Federal funds 
which will be needed to complete the program or project over the 
succeeding funding periods (usually in years). This section need not 
be completed for revisions (amendments, changes, or supplements) to 
funds for the current year of existing grants.
    If more than four lines are needed to list the program titles, 
submit additional schedules as necessary.
    Line 20--Enter the total for each of the Columns (b)-(e). When 
additional schedules are prepared for this Section, annotate 
accordingly and show the overall totals on this line.

Section F. Other Budget Information

    Line 21--Use this space to explain amounts for individual direct 
object-class cost categories that may appear to be out of the 
ordinary or to explain the details as required by the Federal 
grantor agency.
    Line 22--Enter the type of indirect rate (provisional, 
predetermined, final or fixed) that will be in effect during the 
funding period, the estimated amount of the base to which the rate 
is applied, and the total indirect expense.
    Line 23--Provide any other explanations or comments deemed 
necessary.

Assurances--Non-Construction Programs

    Note: Certain of these assurances may not be applicable to your 
project or program. If you have questions, please contact the 
awarding agency. Further, certain Federal awarding agencies may 
require applicants to certify to additional assurances. If such is 
the case, you will be notified.

    As the duly authorized representative of the applicant I certify 
that the applicant:
    1. Has the legal authority to apply for Federal assistance, and 
the institutional, managerial and financial capability (including 
funds sufficient to pay the non-Federal share of project costs) to 
ensure proper planning, management and completion of the project 
described in this application.
    2. Will give the awarding agency, the Comptroller General of the 
United States, and if appropriate, the State, through any authorized 
representative, access to and the right to examine all records, 
books, papers, or documents related to the award; and will

[[Page 30771]]

establish a proper accounting system in accordance with generally 
accepted accounting standards or agency directives.
    3. Will establish safeguards to prohibit employees from using 
their positions for a purpose that constitutes or presents the 
appearance of personal or organizational conflict of interest, or 
personal gain.
    4. Will initiate and complete the work within the applicable 
time frame after receipt of approval of the awarding agency.
    5. Will comply with the Intergovernmental Personnel Act of 1970 
(42 U.S.C. Secs. 4728-4763) relating to prescribed standards for 
merit systems for programs funded under one of the nineteen statutes 
or regulations specified in Appendix A of OPM's Standards for a 
Merit System of Personnel Administration (5 C.F.R. 900, Subpart F).
    6. Will comply with all Federal statutes relating to 
nondiscrimination. These include but are not limited to: (a) Title 
VI of the Civil Rights Act of 1964 (P.L. 88-352) which prohibits 
discrimination on the basis of race, color or national origin; (b) 
Title IX of the Education Amendments of 1972, as amended (20 U.S.C. 
Secs. 1681-1683, and 1685-1686), which prohibits discrimination on 
the basis of sex; (c) Section 504 of the Rehabilitation Act of 1973, 
as amended (29 U.S.C. Sec. 794), which prohibits discrimination on 
the basis of handicaps; (d) the Age Discrimination Act of 1975, as 
amended (42 U.S.C. Secs. 6101-6107), which prohibits discrimination 
on the basis of age; (e) the Drug Abuse Office and Treatment Act of 
1972 (P.L. 92-255), as amended, relating to nondiscrimination on the 
basis of drug abuse; (f) the Comprehensive Alcohol Abuse and 
Alcoholism Prevention, Treatment and Rehabilitation Act of 1970 
(P.L. 91-616), as amended, relating to nondiscrimination on the 
basis of alcohol abuse or alcoholism; (g) Secs. 523 and 527 of the 
Public Health Service Act of 1912 (42 U.S.C. 290dd-3 and 290ee-3), 
as amended, relating to confidentiality of alcohol and drug abuse 
patient records; (h) Title VII of the Civil Rights Act of 1968 (42 
U.S.C. Sec. 3601 et seq.), as amended, relating to nondiscrimination 
in the sale, rental or financing of housing; (i) any other 
nondiscrimination provisions in the specific statute(s) under which 
application for Federal assistance is being made; and (j) the 
requirements of any other nondiscrimination statute(s) which may 
apply to the application.
    7. Will comply, or has already complied, with the requirements 
of Titles II and III of the Uniform Relocation Assistance and Real 
Property Acquisition Policies Act of 1970 (P.L. 91-646) which 
provide for fair and equitable treatment of persons displaced or 
whose property is acquired as a result of Federal or federally 
assisted programs. These requirements apply to all interests in real 
property acquired for project purposes regardless of Federal 
participation in purchases.
    8. Will comply with the provisions of the Hatch Act (5 U.S.C. 
Secs. 1501-5108 and 7324-7328) which limit the political activities 
of employees whose principal employment activities are funded in 
whole or in part with Federal funds.
    9. Will comply, as applicable, with the provisions of the Davis-
Bacon Act (40 U.S.C. Secs. 276a to 276a-7), the Copeland Act (40 
U.S.C. Sec. 276c and 18 U.S.C. Secs. 874), and the Contract Work 
Hours and Safety Standards Act (40 U.S.C. Secs. 327-333), regarding 
labor standards for federally assisted construction subagreements.
    10. Will comply, if applicable, with flood insurance purchase 
requirements of Section 102(a) of the Flood Disaster Protection Act 
of 1973 (P.L. 93-234) which requires recipients in a special flood 
hazard area to participate in the program and to purchase flood 
insurance if the total cost of insurable construction and 
acquisition is $10,000 or more.
    11. Will comply with environmental standards which may be 
prescribed pursuant to the following: (a) institution of 
environmental quality control measures under the National 
Environmental Policy Act of 1969 (P.L. 91-190) and Executive Order 
(EO) 11514; (b) notification of violating facilities pursuant to EO 
11738; (c) protection of wetlands pursuant to EO 11990; (d) 
evaluation of flood hazards in floodplains in accordance with EO 
11988; (e) assurance of project consistency with the approved State 
management program developed under the Coastal Zone Management Act 
of 1972 (16 U.S.C. Secs. 1451 et seq.); (f) conformity of Federal 
actions to State (Clear Air) Implementation Plans under Section 
176(c) of the Clear Air Act of 1955, as amended (42 U.S.C. Sec. 7401 
et seq.); (g) protection of underground sources of drinking water 
under the Safe Drinking Water Act of 1974, as amended (P.L. 93-523); 
and (h) protection of endangered species under the Endangered 
Species Act of 1973, as amended (P.L. 93-205).
    12. Will comply with the Wild and Scenic Rivers Act of 1968 (16 
U.S.C. Secs. 1271 et seq.) related to protecting components or 
potential components of the national wild and scenic rivers system.
    13. Will assist the awarding agency in assuring compliance with 
Section 106 of the National Historic Preservation Act of 1966, as 
amended (16 U.S.C. 470), EO 11593 (identification and protection of 
historic properties), and the Archaeological and Historic 
Preservation Act of 1974 (16 U.S.C. 469a-1 et seq.).
    14. Will comply with P.L. 93-348 regarding the protection of 
human subjects involved in research, development, and related 
activities supported by this award of assistance.
    15. Will comply with the Laboratory Animal Welfare Act of 1966 
(P.L. 89-544, as amended, 7 U.S.C. 2131 et seq.) pertaining to the 
care, handling and treatment of warm blooded animals held for 
research, teaching, or other activities supported by this award of 
assistance.
    16. Will comply with the Lead-Based Paint Poisoning Prevention 
Act (42 U.S.C. Secs. 4801 et seq.) which prohibits the use of lead 
based paint in construction or rehabilitation of residence 
structures.
    17. Will cause to be performed the required financial and 
compliance audits in accordance with the Single Audit Act of 1984.
    18. Will comply with all applicable requirements of all other 
Federal laws, executive orders, regulations and policies governing 
this program.

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Signature of authorized certifying official

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Title

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Applicant organization

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Date submitted

Appendix C--U.S. Department of Health and Human Services, Certification 
Regarding Drug-Free Workplace Requirements, Grantees Other Than 
Individuals

    By signing and/or submitting this application or grant 
agreement, the grantee is providing the certification set out below.
    This certification is required by regulations implementing the 
Drug-Free Workplace Act of 1988, 45 CFR Part 76, Subpart F. The 
regulations, published in the May 25, 1990 Federal Register, require 
certification by grantees that they will maintain a drug-free 
workplace. The certification set out below is a material 
representation of fact upon which reliance will be placed when the 
Department of Health and Human Services (HHS) determines to award 
the grant. If it is later determined that the grantee knowingly 
rendered a false certification, or otherwise violates the 
requirements of the Drug-Free Workplace Act, HHS, in addition to any 
other remedies available to the Federal Government, may take action 
authorized under the Drug-Free Workplace Act. False certification or 
violation of the certification shall be grounds for suspension of 
payments, suspension or termination of grants, or government wide 
suspension or debarment.
    Workplaces under grants, for grantees other than individuals, 
need not be identified on the certification. If known, they may be 
identified in the grant application. If the grantee does not 
identify the workplaces at the time of application, or upon award, 
if there is no application, the grantee must keep the identity of 
the workplace(s) on file in its office and make the information 
available for Federal inspection. Failure to identify all known 
workplaces constitutes a violation of the grantee's drug-free 
workplace requirements.
    Workplace identifications must include the actual address of 
buildings (or parts of buildings) or other sites where work under 
the grant takes place. Categorical descriptions may be used (e.g., 
all vehicles of a mass transit authority or State highway department 
while in operation, State employees in each local unemployment 
office, performers in concert halls or radio studios.)
    If the workplace identified to HHS changes during the 
performance of the grant, the grantee shall inform the agency of the 
change(s), if it previously identified the workplaces in question 
(see above).
    Definitions of terms in the Nonprocurement Suspension and 
Debarment common rule and Drug-Free Workplace common rule apply to 
this certification. Grantees' attention is called, in particular, to 
the following definitions from these rules:
    ``Controlled substance'' means a controlled substance in 
Schedules I through V of the

[[Page 30772]]

Controlled Substances Act (21 U.S.C. 812) and as further defined by 
regulation (21 1308.11 through 1308.15).
    ``Conviction'' means a finding of guilt (including a plea of 
nolo contendere) or imposition of sentence, or both, by any judicial 
body charged with the responsibility to determine violations of the 
Federal or State criminal drug statutes;
    ``Criminal drug statute'' means a Federal or non-Federal 
criminal statute involving the manufacture, distribution, 
dispensing, use, or possession of any controlled substance;
    ``Employee'' means the employee of a grantee directly engaged in 
the performance of work under a grant, including: (i) All ``direct 
charge'' employees; (ii) all ``indirect charge'' employees unless 
their impact or involvement is insignificant to the performance of 
the grant; and, (iii) temporary personnel and consultants who are 
directly engaged in the performance of work under the grant and who 
are on the grantee's payroll. This definition does not include 
workers not on the payroll of the grantee (e.g., volunteers, even if 
used to meet a matching requirement; consultants or independent 
contractors not on the grantee's payroll; or employees of 
subrecipients or subcontractors in covered workplaces).
    The grantee certifies that it will or will continue to provide a 
drug-free workplace by:
    (a) Publishing a statement notifying employees that the unlawful 
manufacture, distribution, dispensing, possession or use of a 
controlled substance is prohibited in the grantee's workplace and 
specifying the actions that will be taken against employees for 
violation of such prohibition;
    (b) Establishing an ongoing drug-free awareness program to 
inform employees about:
    (1) The dangers of drug abuse in the workplace; (2) The 
grantee's policy of maintaining a drug-free workplace; (3) Any 
available drug counseling, rehabilitation, and employee assistance 
programs; and (4) The penalties that may be imposed upon employees 
for drug abuse violations occurring in the workplace;
    (c) Making it a requirement that each employee to be engaged in 
the performance of the grant be given a copy of the statement 
required by paragraph (a);
    (d) Notifying the employee in the statement required by 
paragraph (a) that, as a condition of employment under the grant, 
the employee will:
    (1) Abide by the terms of the statement; and, (2) Notify the 
employer in writing of his or her conviction for a violation of a 
criminal drug statute occurring in the workplace no later than five 
calendar days after such conviction;
    (e) Notifying the agency in writing, within ten calendar days 
after receiving notice under subparagraph (d)(2) from an employee or 
otherwise receiving actual notice of such conviction. Employers of 
convicted employees must provide notice, including position title, 
to every grant officer or other designee on whose grant activity the 
convicted employee was working, unless the Federal agency has 
designated a central point for the receipt of such notices. Notice 
shall include the identification number(s) of each affected grant;
    (f) Taking one of the following actions, within 30 calendar days 
of receiving notice under subparagraph (d)(2), with respect to any 
employee who is so convicted:
    (1) Taking appropriate personnel action against such an 
employee, up to and including termination, consistent with the 
requirements of the Rehabilitation Act of 1973, as amended; or, (2) 
Requiring such employee to participate satisfactorily in a drug 
abuse assistance or rehabilitation program approved for such 
purposes by a Federal, State, or local health, law enforcement, or 
other appropriate agency;
    (g) Making a good faith effort to continue to maintain a drug-
free workplace through implementation of paragraphs (a), (b), (c), 
(d), (e) and (f).
    The grantee may insert in the space provided below the site(s) 
for the performance of work done in connection with the specific 
grant (use attachments, if needed);
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Place of Performance (Street address, City, County, State, ZIP Code)

    Check ______ if there are workplace on file that are not 
identified here.
    Sections 76.630 (c) and (d)(2) and 76.635 (a)(1) and (b) provide 
that a Federal agency may designate a central receipt point for 
STATE-WIDE AND STATE AGENCY-WIDE certifications, and for 
notification or criminal drug convictions. For the Department of 
Health and Human Services, the central receipt point is: Division of 
Grants Management and Oversight, Office of Management and 
Acquisition, Department of Health and Human Services, Room 517-D, 
200 Independence Avenue, SW., Washington, DC 20201.

Appendix D--Certification Regarding Debarment, Suspension, and Other 
Responsibility Matters--Primary Covered Transactions

    By signing and submitting this proposal, the applicant, defined 
as the primary participant in accordance with 45 CFR Part 76, 
certifies to the best of its knowledge and believe that it and its 
principals:
    (a) are not presently debarred, suspended, proposed for 
debarment, declared ineligible, or voluntarily excluded from covered 
transactions by any Federal Department or agency;
    (b) have not within a 3-year period preceding this proposal been 
convicted of or had a civil judgment rendered against them for 
commission of fraud or a criminal offense in connection with 
obtaining, attempting to obtain, or performing a public (Federal, 
State, or local) transaction or contract under a public transaction; 
violation of Federal or State antitrust statutes or commission of 
embezzlement, theft, forgery, bribery, falsification or destruction 
of records, making false statements, or receiving stolen property;
    (c) are not presently indicted or otherwise criminally or 
civilly charged by a governmental entity (Federal, State of local) 
with commission of any of the offenses enumerated in paragraph (1) 
(b) of this certification; and
    (d) have not within a 3-year period preceding this application/
proposal had one or more public transactions (Federal, State, or 
local) terminated for cause or default.
    The inability of a person to provide the certification required 
above will not necessarily result in denial of participation in this 
covered transaction. If necessary, the prospective participant shall 
submit an explanation of why it cannot provide the certification. 
The certification or explanation will be considered in connection 
with the Department of Health and Human Services (HHS) determination 
whether to enter into this transaction. However, failure of the 
prospective primary participant to furnish a certification or an 
explanation shall disqualify such person from participation in this 
transaction.
    The prospective primary participant agrees that by submitting 
this proposal, it will include the clause entitled ``Certification 
Regarding Debarment, Suspension, Ineligibility, and Voluntary 
Exclusion--Lower Tier Covered Transaction.'' provided below without 
modification in all lower tier covered transactions and in all 
solicitations for lower tier covered transactions.

Certification Regarding Debarment, Suspension, Ineligibility and 
Voluntary Exclusion--Lower Tier Covered Transactions

(To be Supplied to Lower Tier Participants)

    By signing and submitting this lower tier proposal, the 
prospective lower tier participant, as defined in 45 CFR Part 76, 
certifies to best of its knowledge and belief that it and its 
principals:
    (a) are not presently debarred, suspended, proposed for 
debarment, declared ineligible, or voluntarily excluded from 
participation in this transaction by any federal department or 
agency.
    (b) where the prospective lower tier participant is unable to 
certify to any of the above , such prospective participant shall 
attach an explanation to this proposal.
    The prospective lower tier participant further agrees by 
submitting this proposal that it will include this clause entitled 
``Certification Regarding Debarment, Suspension, Ineligibility, and 
Voluntary Exclusion--Lower Tier Covered Transactions'' without 
modification in all lower tier covered transactions and in all 
solicitations for lower tier covered transactions.

Appendix E--Certification Regarding Lobbying--Certification for 
Contracts, Grants, Loans, and Cooperative Agreements

    The undersigned certifies, to the best of his or here knowledge 
and belief, that:
    (1) No Federal appropriated funds have been paid or will be 
paid, by or on behalf of the undersigned, to any person for 
influencing or attempting to influence an officer or employee of any 
agency, a Member of Congress, an officer or employee of Congress, or 
an employee of a Member of Congress in connection with the awarding 
of any Federal contract, the making of any Federal grant, the making 
of any Federal loan, the entering into of any cooperative agreement, 
and the extension, continuation, renewal, amendment, or modification 
of any Federal contract, grant, loan, or cooperative agreement.

[[Page 30773]]

    (2) If any funds other than Federal appropriated funds have been 
paid or will be paid to any person for influencing or attempting to 
influence an officer or employee of any agency, a Member of 
Congress, an officer or employee of Congress, or an employee of a 
Member of Congress in connection with this Federal contract, grant, 
loan or cooperative agreement, the undersigned shall complete and 
submit Standard Form-LLL, ``Disclosure Form to Report Lobbying,'' in 
accordance with its instructions.
    (3) The undersigned shall require that the language of this 
certification be included in the award documents for all subawards 
at all tiers (including subcontracts, subgrants, and contracts under 
grants, loans, and cooperative agreements) and that all 
subrecipients shall certify and disclose accordingly.
    This certification is a material representation of fact upon 
which reliance was placed when this transaction was made or entered 
into. Submission of this certification is a prerequisite for making 
or entering into this transaction imposed by section 1352, title 31, 
U.S. Code. Any person who fails to file the required certification 
shall be subject to a civil penalty of not less than $10,000 and not 
more than $100,000 for each such failure.

State for Loan Guarantee and Loan Insurance

    The undersigned states, to the best of his or her knowledge and 
belief, that:
    If any funds have been paid or will be paid to any person for 
influencing or attempting to influence an officer or employee of any 
agency, a Member of Congress, an officer or employee of Congress, or 
an employee of a Member of Congress in connection with this 
commitment providing for the United States to insure or guarantee a 
loan, the undersigned shall complete and submit Standard Form-LLL 
``Disclosure Form to Report Lobbying,'' in accordance with its 
instructions.
    Submission of this statement is a prerequisite for making or 
entering into this transaction imposed by section 1352, title 31, 
U.S. Code. Any person who fails to file the required statement shall 
be subject to a civil penalty of not less than $10,000 and not more 
than $100,000 for each such failure.

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Signature

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Title

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Organization

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Date

BILLING CODE 4184-01-P

[[Page 30774]]

[GRAPHIC] [TIFF OMITTED] TN17JN96.019



BILLING CODE 4184-01-C

[[Page 30775]]

Appendix F--Certification Regarding Environmental Tobacco Smoke

    Public Law 103-227, Part C--Environmental Tobacco Smoke, also 
known as the Pro-Children Act of 1994 (Act), requires that smoking 
not be permitted in any portion of any indoor facility owned or 
leased or contracted for by an entity and used routinely or 
regularly for the provision of health, day care, education, or 
library services to children under the age of 18, if the services 
are funded by Federal programs either directly or through State or 
local governments, by Federal grant, contract, loan, or loan 
guarantee. The law does not apply to children's services provided in 
private residences, facilities funded solely by Medicare or Medicaid 
funds, and portions of facilities used for inpatient drug or alcohol 
treatment. Failure to comply with the provisions of the law may 
result in the imposition of a civil monetary penalty of up to $1,000 
per day and/or the imposition of an administrative compliance order 
on the responsible entity.
    By signing and submitting this application the applicant/grantee 
certifies that it will comply with the requirements of the Act. The 
applicant/grantee further agrees that it will require the language 
of this certification be included in any subawards which contain 
provisions for children's services and that all subgrantees shall 
certify accordingly.

[FR Doc. 96-15156 Filed 6-14-96; 8:45 am]
BILLING CODE 4184-01-P